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UBS PACE Alternative Strategies Investments Class
Gross Front End 12b-1 Expense Load CDSC Fees Ratio Fund Family Fund Name CUSIP Ticker UBS UBS UBS UBS UBS Total Return Bond Fund Class P UBS Global Allocation Fund Class A UBS Global Allocation Fund Class C UBS Global Allocation Fund Class P UBS U.S. Small Cap Growth Fund Class A UBS U.S. Small Cap Growth Fund Class C UBS U.S. Small Cap Growth Fund Class P PACE Strategic Fixed Income Investments Class A PACE Strategic Fixed Income Investments Class C PACE Strategic Fixed Income Investments Class P PACE Small/Medium Co Value Equity Investments Class A PACE Small/Medium Co Value Equity Investments Class C PACE Small/Medium Co Value Equity Investments Class P PACE Municipal Fixed Income Investments Class A PACE Municipal Fixed Income Investments Class C PACE Municipal Fixed Income Investments Class P PACE Large Co Growth Equity Investments Class A PACE Large Co Growth Equity Investments Class C PACE Large Co Growth Equity Investments Class P PACE Mortgage-Backed Securities Fixed Income Investments Class A UBS Core Plus Bond Fund Class A 90267D787 90262H627 90262H593 90262H585 UTBPX BNGLX 5.50 BNPCX BPGLX UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS 1.00 90262H668 BNSCX 5.50 90262H643 BNMCX 1.00 90262H635 BISCX 0.75 69373W756 PCSIX 69373W665 PEVCX 1.00 69373W681 PCSVX 69373W541 PMUCX 0.75 69373W566 PCMNX 69373W442 PCLCX 69373W517 PFXAX 4.50 90262H106 BNBDX 3.75 BUY,SELL 1.00 SELL ONLY .25 1.07000 BUY,SELL .75 1.54000 BUY,SELL SELL ONLY .25 1.27000 BUY,SELL 1.00 2.01000 BUY,SELL SELL ONLY .25 0.92000 BUY,SELL .75 1.42000 BUY,SELL 0.67000 69373W228 PLAAX 5.50 69373W194 PLACX 1.00 2.25000 1.12000 69373W525 PMUAX 2.25 SELL ONLY BUY,SELL BUY,SELL SELL ONLY BUY,SELL 0.82000 69373W640 PEVAX 5.50 2.00 .25 1.52000 1.11000 69373W699 PBNAX 4.50 69373W723 PBNCX 0.81000 .25 1.39000 1.00 2.17000 1.11000 Redemption Fee Buy/Sell Eligible SELL ONLY .25 1.18000 BUY,SELL 1.00 1.99000 BUY,SELL 0.92000 .25 1.07000 .25 1.75000 SELL ONLY BUY,SELL BUY,SELL Revised 19 Sept 2016 Page 1 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio UBS PACE Mortgage-Backed Securities Fixed Income Investments Class C UBS Core Plus Bond Fund Class C UBS Core Plus Bond Fund Class P PACE Mortgage-Backed Securities Fixed Income Investments Class P PACE Small/Medium Co Growth Equity Investments Class A PACE Small/Medium Co Growth Equity Investments Class C PACE Small/Medium Co Growth Equity Investments Class P UBS PACE High Yield Investments Class A 69373W780 PHIAX UBS PACE High Yield Investments Class C 69373W814 PHYCX UBS 69373W830 PHYPX UBS PACE High Yield Investments Class P PACE Large Co Value Equity Investments Class A PACE Large Co Value Equity Investments Class C PACE Large Co Value Equity Investments Class Y PACE Large Co Value Equity Investments Class P UBS UBS U.S. Large Cap Equity Fund Class A 90262H841 BNEQX 5.50 UBS UBS U.S. Large Cap Equity Fund Class C 90262H825 BNQCX UBS UBS U.S. Large Cap Equity Fund Class P 90262H817 BPEQX PACE International Equity Investments PWGA Class A 69373W277 X 5.50 PACE International Equity Investments PWGC Class C 69373W251 X UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS 69373W418 PFXCX 90262H304 BNOCX 90262H403 BPBDX 0.75 0.75 69373W772 PCGTX 69373W574 PQUAX 5.50 69373W590 PUMCX 1.00 69373W632 PCSGX .75 1.59000 .75 2.38000 1.45000 BUY,SELL BUY,SELL SELL ONLY 0.91000 SELL ONLY .25 1.24000 BUY,SELL 1.00 1.99000 BUY,SELL 1.10000 4.50 0.75 69373W475 PLVCX 1.00 SELL ONLY .25 1.26000 BUY,SELL .75 1.73000 BUY,SELL 1.09000 69373W459 PCPAX 5.50 Redemption Fee Buy/Sell Eligible SELL ONLY .25 1.48000 BUY,SELL 1.00 2.25000 BUY,SELL 69373W483 PLVYX 1.23000 SELL ONLY 69373W491 PCLVX 1.24000 SELL ONLY 1.00 .25 1.56000 BUY,SELL 1.00 2.31000 BUY,SELL 1.07000 1.00 SELL ONLY .25 1.78000 BUY,SELL 1.00 2.58000 BUY,SELL Revised 19 Sept 2016 Page 2 of 68 Fund Family UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS UBS Fund Name PACE International Equity Investments Class P UBS U.S. Allocation Fund Class A UBS U.S. Allocation Fund Class C UBS U.S. Allocation Fund Class P PACE International Emerging Markets Equity Investments Class A PACE International Emerging Markets Equity Investments Class C PACE International Emerging Markets Equity Investments Class P PACE Global Real Estate Securities Investments Class A PACE Global Real Estate Securities Investments Class C PACE Global Real Estate Securities Investments Class P UBS International Sustainable Equity Fund Class A UBS International Sustainable Equity Fund Class C UBS International Sustainable Equity Fund Class P UBS Dynamic Alpha Fund Class A UBS Dynamic Alpha Fund Class C UBS Dynamic Alpha Fund Class P PACE Alternative Strategies Investments Class A PACE Alternative Strategies Investments Class C PACE Alternative Strategies Investments Class P PACE International Fixed Income Investments Class A PACE Intermediate Fixed Income Investments Class A Gross Front End 12b-1 Expense Load CDSC Fees Ratio CUSIP Ticker 69373W244 90262E103 90262E301 90262E400 PCIEX PWTAX 5.50 KPAAX PWTYX 1.00 69373W178 PWEAX 5.50 69373W152 PWECX 1.00 69373W293 PCEMX 69373W871 PREEX 1.00 69373W806 PREQX 90262H379 BNICX 90262H361 90262H353 90262H338 90262H320 1.00 BNUEX BNAAX 5.50 BNACX BNAYX 69373W707 PASIX BUY,SELL 1.00 2.51000 BUY,SELL 1.00 5.50 69373W509 PASOX 1.00 69373W202 PASPX SELL ONLY .25 1.59000 BUY,SELL 1.00 2.24000 BUY,SELL 1.56000 5.50 SELL ONLY BUY,SELL BUY,SELL SELL ONLY .25 1.78000 1.57000 69373W855 PREAX 5.50 90262H395 BNIEX 1.52000 .25 1.02000 1.00 1.78000 0.76000 Redemption Fee Buy/Sell Eligible SELL ONLY .25 2.47000 BUY,SELL 1.00 3.23000 BUY,SELL 2.21000 .25 1.44000 1.00 2.20000 1.21000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY .25 1.99000 SELL ONLY 1.00 2.73000 SELL ONLY 1.75000 SELL ONLY 69373W103 PWFAX 4.50 .25 1.27000 BUY,SELL 69373W384 PIFAX .25 1.03000 BUY,SELL 4.50 Revised 19 Sept 2016 Page 3 of 68 Fund Family Fund Name CUSIP UBS PACE Intermediate Fixed Income Investments Class C PACE International Fixed Income Investments Class C PACE Intermediate Fixed Income Investments Class P PACE International Fixed Income Investments Class P UBS UBS US Equity Opportunity Fund Class P 90262H767 UBS UBS US Equity Opportunity Fund Class C USAA Science & Technology Fund Adviser Shares USAA Science & Technology Fund USAA S&P 500 Index Fund Member Shares USAA Capital Growth Fund USAA NASDAQ-100 Index Fund 90262H775 USAA Virginia Bond Fund Adviser Shares USAA Virginia Bond Fund USAA Value Fund Adviser Shares USAA Value Fund USAA Growth Fund USAA Aggressive Growth Fund USAA Government Securities Fund Adviser Shares USAA Government Securities Fund USAA California Bond Fund Adviser Shares USAA California Bond Fund USAA Cornerstone Moderately Aggressive Fund USAA Cornerstone Moderate Fund USAA Cornerstone Aggressive Fund USAA First Start Growth Fund 903288512 903289874 903288397 903288777 903288108 903288405 UBS UBS UBS USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 69373W368 PIICX 0.75 .75 1.53000 BUY,SELL 69373W848 PWFCX 0.75 .75 1.76000 BUY,SELL 69373W350 PCIFX 0.83000 SELL ONLY 69373W624 PCGLX 1.08000 SELL ONLY 1.52000 SELL ONLY 1.00 1.00 2.50000 BUY, SELL 903288371 USTCX 903288876 USSCX .25 1.42000 1.18000 SELL ONLY SELL ONLY 903288884 USSPX 903288785 USCGX 903288819 USNQX 0.29000 1.23000 0.57000 SELL ONLY SELL ONLY SELL ONLY UVABX USVAX UAVAX UVALX USAAX USAUX .25 0.84000 0.60000 .25 1.34000 1.09000 1.11000 0.78000 1.00 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY 903288462 UAGNX 903287506 USGNX .25 1.05000 0.51000 1.00 SELL ONLY SELL ONLY 903288496 UXABX 903289502 USCBX .25 0.80000 0.56000 1.00 SELL ONLY SELL ONLY 903287209 903287886 903288280 903288868 USCRX USBSX UCAGX UFSGX 1.18000 1.23000 1.54000 1.84000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 4 of 68 Fund Family USAA Fund Name USAA Global Managed Volatility Fund Fund Shares USAA Total Return Strategy Fund Fund Shares USAA Income Stock Fund USAA Global Equity Income Fund Fund Shares USAA Growth and Tax Strategy Fund USAA Ultra Short-Term Bond Fund Fund Shares USAA Tax Exempt Short-Term Fund Adviser Shares USAA Tax Exempt Short-Term Fund CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 903288231 UGMVX 1.51000 SELL ONLY 903287852 USTRX 903288603 USISX 1.56000 0.79000 SELL ONLY SELL ONLY 903287845 UGEIX 903287407 USBLX 1.38000 0.84000 SELL ONLY SELL ONLY 903288348 UUSTX 0.59000 SELL ONLY 903288363 UTESX 903289304 USSTX .25 0.83000 0.55000 SELL ONLY SELL ONLY USAA International Fund Adviser Shares USAA International Fund USAA New York Bond Fund Adviser Shares USAA New York Bond Fund USAA Growth & Income Fund Adviser Shares USAA Growth & Income Fund USAA Precious Metals and Minerals Fund Adviser Shares 903288439 UAIFX 903287308 USIFX .25 1.51000 1.12000 903288520 UNYBX 903289700 USNYX .25 0.85000 0.66000 SELL ONLY SELL ONLY 903288389 USGIX 903288801 USGRX .25 1.27000 0.93000 SELL ONLY SELL ONLY 903288355 UPMMX .25 1.39000 903287100 USAGX 1.25000 SELL ONLY 903288538 UTELX 903289106 USTEX 903288850 USCAX .25 0.90000 0.51000 1.16000 SELL ONLY SELL ONLY SELL ONLY USAA USAA USAA Precious Metals and Minerals Fund USAA Tax Exempt Long-Term Fund Adviser Shares USAA Tax Exempt Long-Term Fund USAA Small Cap Stock Fund USAA Emerging Markets Fund Adviser Shares USAA Emerging Markets Fund 903288421 UAEMX 903287803 USEMX .25 1.95000 1.50000 1.00 SELL ONLY SELL ONLY USAA USAA USAA High Income Fund Adviser Shares 903288447 UHYOX USAA High Income Fund 903288843 USHYX .25 1.21000 0.89000 1.00 1.00 SELL ONLY SELL ONLY USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA 1.00 1.00 SELL ONLY SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 5 of 68 Fund Family USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA USAA Value Line Value Line Value Line Fund Name USAA Tax Exempt Intermediate-Term Fund Adviser Shares USAA Tax Exempt Intermediate-Term Fund USAA Extended Market Index Fund USAA World Growth Fund Adviser Shares CUSIP Ticker 903288546 UTEIX 903289205 USATX 903288827 USMIX USWG 903288413 X Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible .25 0.88000 SELL ONLY 0.54000 0.48000 SELL ONLY SELL ONLY .25 1.38000 1.00 USAA World Growth Fund USAA Flexible Income Fund Adviser Shares 903287704 USAWX 903288249 UAFIX .25 1.36000 USAA Flexible Income Fund Fund Shares USAA Intermediate-Term Bond Fund Adviser Shares USAA Intermediate-Term Bond Fund USAA Cornerstone Moderately Conservative Fund USAA Short-Term Bond Fund Adviser Shares USAA Short-Term Bond Fund USAA Income Fund Adviser Shares USAA Income Fund USAA Cornerstone Conservative Fund USAA Target Retirement 2060 Fund USAA Cornerstone Equity Fund USAA Target Retirement 2050 Fund USAA Target Retirement 2040 Fund USAA Target Retirement 2030 Fund USAA Target Retirement Income Fund USAA Target Retirement 2020 Fund USAA Real Return Fund Value Line Income & Growth Fund Investor Class Value Line Core Bond Fund Value Line Larger Companies Focused Fund Investor Class 903288264 USFIX 1.00000 SELL ONLY 903288470 UITBX 903288835 USIBX .25 0.89000 0.68000 SELL ONLY SELL ONLY 1.13000 SELL ONLY .25 0.85000 0.62000 .25 0.79000 0.53000 0.73000 1.35000 1.16000 0.88000 0.85000 0.81000 0.71000 0.75000 1.19000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY 920440104 VALIX 920394103 VAGIX .25 1.15000 .25 1.17000 SELL ONLY SELL ONLY 920447109 VALLX .25 1.23000 SELL ONLY 903288298 UCMCX 903288488 903288702 903288454 903288207 903288314 903288215 903288272 903288728 903288736 903288744 903288694 903288751 903288330 UASBX USSBX UINCX USAIX USCCX URSIX UCEQX URFFX URFRX URTRX URINX URTNX USRRX 1.17000 SELL ONLY SELL ONLY 1.00 SELL ONLY Revised 19 Sept 2016 Page 6 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Value Line Value Line Mid Cap Focused Fund Value Line Small Cap Opportunities Fund Investor Class Value Line Tax-Exempt Fund Value Line Asset Allocation Fund Investor Class Value Line Premier Growth Fund VanEck International Investors Gold Fund Class A VanEck International Investors Gold Fund Class C VanEck International Investors Gold Fund Class Y VanEck International Investors Gold Fund Class I VanEck CM Commodity Index Fund Class A VanEck CM Commodity Index Fund Class Y VanEck CM Commodity Index Fund Class I VanEck Unconstrained Emerging Markets Bond Fund Class A VanEck Unconstrained Emerging Markets Bond Fund Class C VanEck Unconstrained Emerging Markets Bond Fund Class Y 920423100 VLIFX .25 1.24000 SELL ONLY 920454105 VLEOX 920461209 VLHYX .25 1.25000 .25 1.11000 SELL ONLY SELL ONLY 920395100 VLAAX 920457108 VALSX .25 1.18000 .25 1.23000 SELL ONLY SELL ONLY .25 1.43000 BUY,SELL 1.00 2.22000 BUY,SELL Value Line Value Line Value Line Value Line Van Eck Van Eck Van Eck Van Eck Van Eck Van Eck Van Eck Van Eck Van Eck Van Eck Van Eck 921075503 INIVX 5.75 921075776 IIGCX 1.00 Redemption Fee Buy/Sell Eligible 921075388 INIYX .00 1.21000 SELL ONLY 921075420 INIIX .00 1.07000 SELL ONLY 921075313 CMCAX 5.75 .25 1.25000 BUY,SELL 921075289 CMCYX .00 1.00000 SELL ONLY 921075297 COMIX .00 0.90000 SELL ONLY 921075271 EMBAX 5.75 .25 1.44000 SELL ONLY 1.00 2.68000 SELL ONLY .00 1.07000 SELL ONLY .25 1.36000 BUY,SELL 1.00 2.16000 BUY,SELL 921075263 EMBCX 1.00 921075248 EMBYX Van Eck VanEck Global Hard Assets Fund Class A 921075750 GHAAX 5.75 VanEck Global Hard Assets Fund Class C 921075743 GHACX Van Eck VanEck Global Hard Assets Fund Class Y 921075362 GHAYX .00 1.15000 SELL ONLY Van Eck VanEck Global Hard Assets Fund Class I 921075412 GHAIX .00 1.04000 SELL ONLY Van Eck VanEck Emerging Markets Fund Class A 921075875 GBFAX 5.75 .25 1.46000 BUY,SELL 1.00 Revised 19 Sept 2016 Page 7 of 68 Fund Name Van Eck VanEck Emerging Markets Fund Class C 921075453 EMRCX Van Eck VanEck Emerging Markets Fund Class Y 921075370 EMRYX .00 1.23000 SELL ONLY Van Eck VanEck Emerging Markets Fund Class I Vanguard Precious Metals And Mining Fund Investor Shares Vanguard Consumer Discretionary Index Fund Admiral Shares Vanguard Global Equity Fund Investor Shares Vanguard PRIMECAP Core Fund Investor Shares Vanguard PRIMECAP Fund Investor Shares Vanguard Capital Opportunity Fund Investor Shares Vanguard PRIMECAP Fund Admiral Shares Vanguard Capital Opportunity Fund Admiral Shares Vanguard Short-Term Corporate Bond Index Fund Institutional Shares Vanguard Short-Term Corporate Bond Index Fund Admiral Shares Vanguard Intermediate-Term Corporate Bond Index Fund Admiral Shares Vanguard Long-Term Corporate Bond Index Fund Admiral Shares Vanguard Structured Large-Cap Equity Fund Institutional Plus Shares Vanguard Balanced Index Fund Institutional Shares Vanguard Institutional Index Fund Institutional Shares .00 1.14000 SELL ONLY 921908208 VGPMX 0.35000 SELL ONLY 92204A868 VCDAX 0.09000 SELL ONLY 922038203 VHGEX 0.57000 SELL ONLY 921921508 VPCCX 0.47000 SELL ONLY 921936100 VPMCX 0.40000 SELL ONLY 922038302 VHCOX 0.45000 SELL ONLY 921936209 VPMAX 0.34000 SELL ONLY 922038500 VHCAX 0.38000 SELL ONLY 92206C508 VSTBX 0.07000 SELL ONLY 92206C607 VSCSX 0.10000 SELL ONLY 92206C854 VICSX 0.10000 SELL ONLY 92206C789 VLTCX 0.10000 SELL ONLY 921913406 VSLPX 0.16000 SELL ONLY 921931309 VBAIX 0.07000 SELL ONLY 922040100 VINIX 0.04000 SELL ONLY Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Ticker Redemption Fee Buy/Sell Eligible Fund Family Vanguard CUSIP Gross Front End 12b-1 Expense Load CDSC Fees Ratio 921075438 EMRIX 1.00 1.00 2.26000 BUY,SELL Revised 19 Sept 2016 Page 8 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Institutional Index Fund Institutional Plus Shares Vanguard Institutional Total Stock Market Index Fund Institutional Shares Vanguard Information Technology Index Fund Admiral Shares Vanguard Total Stock Market Index Fund Institutional Shares Vanguard Growth Index Fund Institutional Shares Vanguard FTSE Social Index Fund Investor Shares Vanguard Growth and Income Fund Investor Shares Vanguard Morgan? Growth Fund Investor Shares Vanguard Balanced Index Fund Investor Shares Vanguard Total World Stock Index Investor Shares Vanguard 500 Index Fund Investor Class Vanguard Total Stock Market Index Fund Investor Shares Vanguard Growth Index Fund Investor Shares Vanguard Large Cap Index Fund Investor Shares Vanguard Growth and Income Fund Admiral Shares Vanguard Morgan? Growth Fund Admiral? Shares Vanguard Balanced Index Fund Admiral Shares Vanguard Tax-Managed Balanced Fund Admiral Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 922040209 VIIIX 0.02000 SELL ONLY 922040308 VITNX 0.04000 SELL ONLY 92204A793 VITAX 0.10000 SELL ONLY 922908801 VITSX 0.04000 SELL ONLY 922908868 VIGIX 0.07000 SELL ONLY 921910303 VFTSX 0.25000 SELL ONLY 921913109 VQNPX 0.34000 SELL ONLY 921928107 VMRGX 0.40000 SELL ONLY 921931101 VBINX 0.22000 SELL ONLY 922042767 VTWSX 0.25000 SELL ONLY 922908108 VFINX 0.16000 SELL ONLY 922908306 VTSMX 0.16000 SELL ONLY 922908504 VIGRX 0.22000 SELL ONLY 922908587 VLACX 0.20000 SELL ONLY 921913208 VGIAX 0.23000 SELL ONLY 921928206 VMRAX 0.27000 SELL ONLY 921931200 VBIAX 0.08000 SELL ONLY 921943304 VTMFX 0.11000 SELL ONLY Revised 19 Sept 2016 Page 9 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name CUSIP Ticker Vanguard Tax-Managed Capital Appreciation Fund Admiral Shares 921943866 VTCLX Vanguard Large Cap Index Fund Admiral Shares 922908579 VLCAX Vanguard Growth Index Fund Admiral Shares 922908660 VIGAX Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 0.11000 SELL ONLY 0.08000 SELL ONLY 0.08000 SELL ONLY 922908710 VFIAX 0.05000 SELL ONLY 922908728 VTSAX 0.05000 SELL ONLY 92204A777 VTCAX 0.10000 SELL ONLY 921908307 VGHCX VWND Vanguard Windsor? Fund Investor Share 922018106 X Vanguard Health Care Fund Admiral Shares 921908885 VGHAX Vanguard Windsor? Fund Admiral? Shares 922018403 VWNEX Vanguard Explorer Fund Investor Class 921926101 VEXPX 0.36000 SELL ONLY 0.39000 SELL ONLY 0.31000 SELL ONLY 0.29000 0.49000 SELL ONLY SELL ONLY Vanguard Explorer Fund Admiral Shares Vanguard Intermediate-Term Tax-Exempt Fund Investor Shares Vanguard Intermediate-Term Tax-Exempt Fund Admiral Shares Vanguard California Long-Term TaxExempt Fund Investor Shares Vanguard California Long-Term TaxExempt Fund Admiral Shares Vanguard Extended Market Index Fund Institutional Plus Shares Vanguard Extended Market Index Fund Institutional Shares Vanguard Extended Market Index Fund Investor Shares 921926200 VEXRX 0.35000 SELL ONLY 922907209 VWITX 0.20000 SELL ONLY 922907878 VWIUX 0.12000 SELL ONLY 922021100 VCITX 0.20000 SELL ONLY 922021506 VCLAX 0.12000 SELL ONLY 922908371 VEMPX 0.05000 SELL ONLY 922908884 VIEIX 0.07000 SELL ONLY 922908207 VEXMX 0.22000 SELL ONLY Vanguard 500 Index Fund Admiral Class Vanguard Total Stock Market Index Fund Admiral Shares Vanguard Telecommunication Services Index Fund Admiral Class Vanguard Health Care Fund Investor Shares Revised 19 Sept 2016 Page 10 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Extended Market Index Fund Admiral Shares Vanguard Pennsylvania Long-Term TaxExempt Fund Investor Shares Vanguard Pennsylvania Long-Term TaxExempt Fund Admiral Shares Vanguard Convertible Securities Fund Investor Shares Vanguard Global Minimum Volatility Fund Admiral Shares Vanguard Global Minimum Volatility Fund Investor Shares Vanguard Long-Term Tax-Exempt Fund Vanguard Limited-Term Tax-Exempt Fund Vanguard Long-Term Tax-Exempt Fund Admiral Shares Vanguard Limited-Term Tax-Exempt Fund Admiral Shares Vanguard Strategic Small-Cap Equity Fund Investor Shares Vanguard Small-Cap Index Fund Institutional Shares Vanguard Small Capitalization Index Fund Investor Shares Vanguard Small-Cap Index Fund Admiral Shares Vanguard Materials Index Fund Admiral Shares Vanguard Mid-Cap Growth Index Fund Investor Shares Vanguard Mid-Cap Growth Index Fund Admiral Shares Vanguard Energy Index Fund Admiral Shares Vanguard Energy Fund Investor Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 922908694 VEXAX 0.09000 SELL ONLY 92204L104 VPAIX 0.20000 SELL ONLY 92204L302 VPALX 0.12000 SELL ONLY 922023106 VCVSX 0.38000 SELL ONLY 921946869 VMNVX 0.21000 SELL ONLY 921946877 VMVFX 922907308 VWLTX 0.27000 0.20000 SELL ONLY SELL ONLY 922907704 VMLTX 0.20000 SELL ONLY 922907860 VWLUX 0.12000 SELL ONLY 922907886 VMLUX 0.12000 SELL ONLY 922038609 VSTCX 0.34000 SELL ONLY 922908876 VSCIX 0.07000 SELL ONLY 922908702 NAESX 0.20000 SELL ONLY 922908686 VSMAX 0.08000 SELL ONLY 92204A785 VMIAX 0.10000 SELL ONLY 922908546 VMGIX VMGM 921937728 X 0.20000 SELL ONLY 0.08000 SELL ONLY 92204A843 VENAX 921908109 VGENX 0.10000 0.37000 SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 11 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard U.S. Value Fund Investor Shares Vanguard Energy Fund Admiral Shares Vanguard U.S Growth Portfolio Fund Investor Shares Vanguard U.S Growth Fund Admiral? Shares Vanguard Mid-Cap Value Index Fund Investor Shares Vanguard Mid-Cap Value Index Fund Admiral Shares Vanguard High-Yield Corporate Fund Investor Shares Vanguard High-Yield Corporate Fund Admiral Shares Vanguard Strategic Equity Fund Investor Shares Vanguard Short-Term Federal Fund Investor Shares Vanguard Short-Term Federal Fund Admiral Shares Vanguard Long-Term Investment-Grade Fund Investor Shares Vanguard Long-Term Investment-Grade Fund Admiral Shares Vanguard Industrials Index Fund Admiral Shares Vanguard Total International Bond Index Fund Institutional Shares Vanguard Total International Bond Index Fund Investor Shares Vanguard Total International Bond Index Fund Admiral? Shares Vanguard GNMA Fund Investor Shares Vanguard GNMA Fund Admiral Shares Vanguard Total Bond Market Index Fund Investor Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 922020201 VUVLX 921908802 VGELX 0.26000 0.31000 SELL ONLY SELL ONLY 921910105 VWUSX 0.47000 SELL ONLY 921910600 VWUAX 0.33000 SELL ONLY 922908520 VMVIX 0.20000 SELL ONLY 921937694 VMVAX 0.08000 SELL ONLY 922031208 VWEHX 0.23000 SELL ONLY 922031760 VWEAX 0.13000 SELL ONLY 922038104 VSEQX 0.21000 SELL ONLY 922031604 VSGBX 0.20000 SELL ONLY 922031844 VSGDX 0.10000 SELL ONLY 922031109 VWESX 0.21000 SELL ONLY 922031778 VWETX 0.12000 SELL ONLY 92204A819 VINAX 0.10000 SELL ONLY 92203J209 VTIFX 0.09000 SELL ONLY 92203J100 VTIBX 0.17000 SELL ONLY 92203J308 VTABX 922031307 VFIIX 922031794 VFIJX 0.14000 0.21000 0.11000 SELL ONLY SELL ONLY SELL ONLY 921937108 VBMFX 0.16000 SELL ONLY Revised 19 Sept 2016 Page 12 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Total Bond Market Index Fund Admiral Shares Vanguard Total Bond Market Index Fund Institutional Plus Shares Vanguard Mortgage-Backed Securities Index Fund Admiral Shares Vanguard Small Capitalization Value Index Fund Investor Shares Vanguard Small Cap Value Index Fund Admiral Shares Vanguard Ohio Long-Term Tax-Exempt Fund Vanguard Health Care Index Fund Admiral Shares Vanguard Dividend Appreciation Index Fund Investor Shares Vanguard Dividend Appreciation Index Fund Admiral Shares Vanguard Selected Value Fund Investor Shares Vanguard New York Long-Term TaxExempt Fund Investor Shares Vanguard New York Long-Term TaxExempt Fund Admiral Shares Vanguard Massachusetts Tax-Exempt Fund Investor Shares Vanguard Short-Term Tax-Exempt Fund Vanguard Short-Term Tax-Exempt Fund Class Admiral Vanguard S&P Mid-Cap 400 Index Fund Institutional Shares Vanguard Mega Cap Value Index Fund Institutional Shares Vanguard Equity-Income Fund Admiral Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 921937603 VBTLX 0.06000 SELL ONLY 921937785 VBMPX 0.04000 SELL ONLY 92206C755 VMBSX 0.10000 SELL ONLY 922908793 VISVX 0.20000 SELL ONLY 921937686 VSIAX 0.08000 SELL ONLY 921929204 VOHIX 0.16000 SELL ONLY 92204A827 VHCIX 0.10000 SELL ONLY 921908851 VDAIX 0.19000 SELL ONLY 921908828 VDADX 0.09000 SELL ONLY 921946109 VASVX 0.39000 SELL ONLY 92204H103 VNYTX 0.20000 SELL ONLY 92204H301 VNYUX 0.12000 SELL ONLY 92204X108 VMATX 0.16000 SELL ONLY 922907100 VWSTX 0.20000 SELL ONLY 922907803 VWSUX 0.12000 SELL ONLY 921932877 VSPMX 0.08000 SELL ONLY 921910824 VMVLX 0.06000 SELL ONLY 921921300 VEIRX 0.17000 SELL ONLY Revised 19 Sept 2016 Page 13 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Wellesley® Income Fund Admiral? Shares Vanguard Value Index Fund Institutional Shares Vanguard Dividend Growth Fund Investor Shares Vanguard Equity-Income Fund Investor Shares Vanguard Wellesley® Income Fund Investor Shares Vanguard High Dividend Yield Index Fund Investor Shares Vanguard Windsor? II Fund Investor Share Vanguard Value Index Fund Investor Shares Vanguard Windsor? II Fund Admiral? Shares Vanguard Value Index Fund Admiral Shares Vanguard Total International Stock Index Fund Institutional Plus Shares Vanguard Total International Stock Index Fund Institutional Shares Vanguard Developed Markets Index Fund Institutional Shares Vanguard European Stock Index Fund Institutional Shares Vanguard FTSE All-World ex-US Index Fund Institutional Plus Shares Vanguard Total International Stock Index Fund Investor Shares Vanguard European Stock Index Fund Investor Shares Vanguard FTSE All-World ex-US Index Fund Investor Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 921938205 VWIAX 0.16000 SELL ONLY 922908850 VIVIX 0.07000 SELL ONLY 921908604 VDIGX 0.33000 SELL ONLY 921921102 VEIPX 0.26000 SELL ONLY 921938106 VWINX 0.23000 SELL ONLY 921946505 VHDYX 0.16000 SELL ONLY 922018205 VWNFX 0.34000 SELL ONLY 922908405 VIVAX 0.22000 SELL ONLY 922018304 VWNAX 0.26000 SELL ONLY 922908678 VVIAX 0.08000 SELL ONLY 921909776 VTPSX 0.07000 SELL ONLY 921909784 VTSNX 0.10000 SELL ONLY 921943882 VTMNX 0.07000 SELL ONLY 922042502 VESIX 0.09000 SELL ONLY 922042635 VFWPX 0.09000 SELL ONLY 921909602 VGTSX 0.19000 SELL ONLY 922042205 VEURX 0.26000 SELL ONLY 922042791 VFWIX 0.26000 SELL ONLY Revised 19 Sept 2016 Page 14 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Developed Markets Index Fund Investor Shares Vanguard Total International Stock Index Fund Admiral Shares Vanguard FTSE All-World ex-US Index Fund Admiral Shares Vanguard Developed Markets Index Fund Admiral Shares Vanguard International High Dividend Yield Index Fund Admiral Shares Vanguard European Stock Index Fund Admiral Shares Vanguard Developed Markets Index Fund Institutional Plus Shares Vanguard New Jersey Long-Term TaxExempt Fund Investor Shares Vanguard New Jersey Long-Term TaxExempt Fund Admiral Shares Vanguard High-Yield Tax-Exempt Fund Vanguard High-Yield Tax-Exempt Fund Admiral Shares Vanguard Utilities Index Fund Admiral Shares Vanguard International Explorer Fund Investor Shares Vanguard International Value Fund Investor Shares Vanguard Mid-Cap Index Fund Institutional Plus Shares Vanguard Mid-Cap Index Fund Institutional Shares Vanguard Mid-Cap Index Fund Investor Shares Vanguard Mid-Cap Index Fund Admiral Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 92206J107 VDVIX 0.20000 SELL ONLY 921909818 VTIAX 0.12000 SELL ONLY 921937736 VFWAX 0.13000 SELL ONLY 921943809 VTMGX 0.09000 SELL ONLY 921946828 VIHAX 0.30000 SELL ONLY 922042809 VEUSX 0.12000 SELL ONLY 92206J206 VDIPX 0.06000 SELL ONLY 92204F206 VNJTX 0.20000 SELL ONLY 92204F305 VNJUX 0.12000 SELL ONLY 922907407 VWAHX 0.20000 SELL ONLY 922907845 VWALX 0.12000 SELL ONLY 92204A769 VUIAX 0.10000 SELL ONLY 921946208 VINEX 0.42000 SELL ONLY 921939203 VTRIX 0.46000 SELL ONLY 922908389 VMCPX 0.05000 SELL ONLY 922908835 VMCIX 0.07000 SELL ONLY 922908843 VIMSX 0.20000 SELL ONLY 922908645 VIMAX 0.08000 SELL ONLY Revised 19 Sept 2016 Page 15 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Vanguard Vanguard Consumer Staples Index Fund Class Admiral Shares Vanguard Small-Cap Growth Index Fund Institutional Shares Vanguard Small Capitalization Growth Index Fund Investor Shares Vanguard Small-Cap Growth Index Fund Admiral Shares 921937710 VSGAX 0.08000 SELL ONLY Vanguard Vanguard Emerging Markets Government Bond Index Fund Investor Shares 921946604 VGOVX 0.49000 SELL ONLY 921946802 VGAVX 0.33000 SELL ONLY 921908703 VGSIX 0.26000 SELL ONLY 921908877 VGSLX 0.12000 SELL ONLY 92205G203 VMNIX 1.36000 SELL ONLY 92205G104 VMNFX 1.46000 SELL ONLY 922042601 VEMIX 0.12000 SELL ONLY 922042650 VEMRX 0.10000 SELL ONLY 921910204 VWIGX 0.47000 SELL ONLY 922042304 VEIEX 0.33000 SELL ONLY 921910501 VWILX 0.34000 SELL ONLY 0.25000 SELL ONLY 0.15000 SELL ONLY Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Emerging Markets Government Bond Index Fund Admiral Shares Vanguard REIT Index Fund Investor Shares Vanguard REIT Index Fund Admiral Shares Vanguard Market Neutral Fund Institutional Shares Vanguard Market Neutral Fund Investor Shares Vanguard Emerging Markets Stock Index Fund Institutional Shares Vanguard Emerging Markets Stock Index Fund Institutional Plus Shares Vanguard International Growth Fund Investor Shares Vanguard Emerging Markets Stock Index Fund Investor Shares Vanguard International Growth Fund Admiral Shares 92204A850 VCSAX 0.10000 SELL ONLY 922908819 VSGIX 0.07000 SELL ONLY 922908827 VISGX 0.20000 SELL ONLY Vanguard International Dividend Appreciation Index Fund Admiral Shares 921946844 VIAAX Vanguard Emerging Markets Stock Index Fund Admiral Shares 922042841 VEMAX Revised 19 Sept 2016 Page 16 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Capital Value Fund Investor Shares Vanguard Pacific Stock Index Fund Investor Shares Vanguard Pacific Stock Index Fund Admiral Shares Vanguard Global ex-U.S. Real Estate Index Fund Investor Shares Vanguard Global ex-U.S. Real Estate Index Fund Admiral Shares Vanguard California Intermediate-Term Tax-Exempt Fund Investor Shares Vanguard California Intermediate-Term Tax-Exempt Fund Admiral Shares Vanguard Long-Term Bond Index Fund Investor Shares Vanguard Long-Term Treasury Fund Investor Shares Vanguard Long-Term Treasury Fund Admiral Shares Vanguard Long-Term Government Bond Index Fund Admiral Shares CUSIP Ticker 0.50000 SELL ONLY 922042106 VPACX 0.26000 SELL ONLY 922042700 VPADX 0.12000 SELL ONLY 922042692 VGXRX 0.36000 0.25 SELL ONLY 922042668 VGRLX 0.18000 0.25 SELL ONLY 922021308 VCAIX 0.20000 SELL ONLY 922021407 VCADX 0.12000 SELL ONLY 921937405 VBLTX 0.16000 SELL ONLY 922031505 VUSTX 0.20000 SELL ONLY 922031786 VUSUX 0.10000 SELL ONLY 92206C821 VLGSX 0.10000 SELL ONLY 0.05000 SELL ONLY 0.07000 SELL ONLY 0.17000 SELL ONLY 0.20000 SELL ONLY 0.20000 SELL ONLY 0.08000 SELL ONLY Vanguard Short-Term Inflation-Protected Securities Index Fund Institutional Shares 922020607 VTSPX Vanguard Inflation-Protected Securities Fund Institutional Shares 922031745 VIPIX Vanguard Vanguard Vanguard Short-Term Inflation-Protected Securities Index Fund Admiral Shares 922020706 VTAPX Vanguard Redemption Fee Buy/Sell Eligible 922020409 VCVLX Vanguard Short-Term Inflation-Protected Securities Index Fund Investor Shares 922020508 VTIPX Vanguard Inflation-Protected Securities Fund Investor Shares 922031869 VIPSX Vanguard Intermediate-Term InvestmentGrade Fund Investor Shares 922031885 VFICX Vanguard Gross Front End 12b-1 Expense Load CDSC Fees Ratio Revised 19 Sept 2016 Page 17 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Inflation-Protected Securities Fund Admiral Shares Vanguard Intermediate-Term InvestmentGrade Fund Admiral Shares Vanguard Ultra-Short-Term Bond Fund Investor Shares Vanguard Short-Term Government Bond Index Fund Admiral Shares Vanguard Core Bond Fund Investor Shares Vanguard Short-Term Investment-Grade Fund Investor Shares Vanguard Short-Term Treasury Fund Investor Shares Vanguard Total Bond Market II Index Fund Investor Shares Vanguard Core Bond Fund Admiral Shares Vanguard Short-Term Investment-Grade Fund Admiral Shares Vanguard Short-Term Treasury Fund Admiral Shares Vanguard Short-Term Bond Index Fund Investor Shares Vanguard Short-Term Bond Index Fund Admiral Shares Vanguard Intermediate-Term Treasury Fund Investor Shares Vanguard Intermediate-Term Treasury Fund Admiral Shares Vanguard Intermediate-Term Bond Index Fund Investor Shares Vanguard Intermediate-Term Bond Index Fund Admiral Shares Vanguard Intermediate-Term Government Bond Index Fund Admiral Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 922031737 VAIPX 0.10000 SELL ONLY 922031810 VFIDX 0.10000 SELL ONLY 922031729 VUBFX 0.20000 SELL ONLY 92206C300 VSBSX 0.10000 SELL ONLY 922020847 VCORX 0.25000 SELL ONLY 922031406 VFSTX 0.20000 SELL ONLY 922031703 VFISX 0.20000 SELL ONLY 92203C105 VTBIX 0.09000 SELL ONLY 922020839 VCOBX 0.15000 SELL ONLY 922031836 VFSUX 0.10000 SELL ONLY 922031851 VFIRX 0.10000 SELL ONLY 921937207 VBISX 0.16000 SELL ONLY 921937702 VBIRX 0.09000 SELL ONLY 922031802 VFITX 0.20000 SELL ONLY 922031828 VFIUX 0.10000 SELL ONLY 921937306 VBIIX 0.16000 SELL ONLY 921937801 VBILX 0.09000 SELL ONLY 92206C888 VSIGX 0.10000 SELL ONLY Revised 19 Sept 2016 Page 18 of 68 Fund Family Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Fund Name Vanguard Diversified Equity Fund Investor Shares Vanguard Tax-Managed Small Cap Fund Admiral Shares Vanguard LifeStrategy Income Fund Investor Shares Vanguard LifeStrategy Conservative Growth Fund Investor Shares Vanguard Target Retirement Income Fund Investor Shares Vanguard Target Retirement 2015 Fund Investor Shares Vanguard Target Retirement 2010 Fund Investor Shares Vanguard Managed Payout Fund Investor Shares Vanguard LifeStrategy Moderate Growth Fund Investor Shares Vanguard LifeStrategy Growth Fund Investor Shares Vanguard Target Retirement 2025 Fund Investor Shares Vanguard Target Retirement 2035 Fund Investor Shares Vanguard Target Retirement 2045 Fund Investor Shares Vanguard Target Retirement 2020 Fund Investor Shares Vanguard Target Retirement 2060 Fund Investor Shares Vanguard Target Retirement 2055 Fund Investor Shares Vanguard Target Retirement 2050 Fund Investor Shares Vanguard Target Retirement 2040 Fund Investor Shares CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 921939401 VDEQX 0.40000 SELL ONLY 921943403 VTMSX 0.11000 SELL ONLY 921909206 VASIX 0.12000 SELL ONLY 921909305 VSCGX 0.13000 SELL ONLY 92202E102 VTINX 0.14000 SELL ONLY 92202E300 VTXVX 0.14000 SELL ONLY 92202E706 VTENX 0.14000 SELL ONLY 92205M200 VPGDX 0.38000 SELL ONLY 921909404 VSMGX 0.14000 SELL ONLY 921909503 VASGX 0.15000 SELL ONLY 92202E409 VTTVX 0.15000 SELL ONLY 92202E508 VTTHX 0.15000 SELL ONLY 92202E607 VTIVX 0.16000 SELL ONLY 92202E805 VTWNX 0.14000 SELL ONLY 92202E839 VTTSX 0.16000 SELL ONLY 92202E847 VFFVX 0.16000 SELL ONLY 92202E862 VFIFX 0.16000 SELL ONLY 92202E870 VFORX 0.16000 SELL ONLY Revised 19 Sept 2016 Page 19 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Victory Vanguard Target Retirement 2030 Fund Investor Shares Vanguard Star Fund Investor Shares Vanguard Mid-Cap Growth Fund Investor Shares Vanguard FTSE All-World ex-US Small Capital Index Fund Investor Shares Vanguard Wellington? Fund Investor Shares Vanguard Wellington? Fund Admiral? Shares Victory Sycamore Established Value Fund Class A Victory Sycamore Established Value Fund Class C Victory Sycamore Established Value Fund Class I Victory Sycamore Established Value Fund Class Y Victory Sycamore Established Value Fund Class R Victory Sycamore Established Value Fund Class R6 Victory Ohio Municipal Bond Fund Class A Victory Victory Munder Multi-Cap Fund Class A 92646A294 MNNAX 5.75 Victory Victory Munder Multi-Cap Fund Class C 92646A286 MNNCX Victory Victory Munder Multi-Cap Fund Class Y 92646A260 MNNYX .00 1.10000 SELL ONLY Victory Victory Victory Victory Victory Munder Multi-Cap Fund Class R Victory S&P 500 Index Fund Class A Victory S&P 500 Index Fund Class Y Victory S&P 500 Index Fund Class R 92646A278 92646A252 92646A237 92646A245 .50 .15 .00 .50 SELL ONLY BUY,SELL SELL ONLY SELL ONLY Vanguard Vanguard Vanguard Vanguard Vanguard Vanguard Victory Victory Victory Victory Victory Victory 92202E888 VTHRX 921909107 VGSTX 0.15000 0.34000 SELL ONLY SELL ONLY 921946307 VMGRX 0.43000 SELL ONLY 922042734 VFSVX 0.31000 SELL ONLY 921935102 VWELX 0.26000 SELL ONLY 921935201 VWENX 0.18000 SELL ONLY 926464231 VETAX 5.75 92646A401 VEVCX 1.00 .25 0.99000 BUY,SELL 1.00 1.90000 BUY,SELL 92646A831 VEVIX .00 0.63000 SELL ONLY 92646A633 VEVYX .00 0.94000 SELL ONLY 926464371 GETGX .50 1.16000 SELL ONLY 92646A427 VEVRX .00 0.65000 SELL ONLY 926464801 SOHTX 2.00 .25 1.06000 BUY,SELL .25 1.52000 BUY,SELL 1.00 2.31000 BUY,SELL MNNRX MUXAX 2.50 MUXYX MUXRX 1.00 2.15000 0.62000 0.42000 1.01000 Revised 19 Sept 2016 Page 20 of 68 Fund Family Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Fund Name Victory Expedition Emerging Markets Small Cap Fund Class A Victory Expedition Emerging Markets Small Cap Fund Class C Victory Expedition Emerging Markets Small Cap Fund Class I Victory Munder Small Cap Growth Fund Class A Victory Munder Small Cap Growth Fund Class Y Victory Munder Small Cap Growth Fund Class I Victory CEMP Commodity Enhanced Volatility Wtd Index Strategy Fund Class A Victory CEMP Commodity Enhanced Volatility Wtd Index Strategy Fund Class C Victory CEMP Commodity Enhanced Volatility Wtd Index Strategy Fund Class I Victory CEMP Commodity Volatility Wtd Index Strategy Fund Class A Victory CEMP Commodity Volatility Wtd Index Strategy Fund Class C Victory CEMP Commodity Volatility Wtd Index Strategy Fund Class I Victory Sycamore Small Company Opportunity Fund Class A Victory Sycamore Small Company Opportunity Fund Class I Victory Sycamore Small Company Opportunity Fund Class Y Victory Sycamore Small Company Opportunity Fund Class R Victory Sycamore Small Company Opportunity Fund R6 CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92646A393 VAEMX 5.75 Redemption Fee Buy/Sell Eligible .25 28.04000 SELL ONLY 1.00 32.53000 SELL ONLY 92646A377 VIEMX .00 3.18000 SELL ONLY 92647K762 MASCX 5.75 .25 5.85000 SELL ONLY 92647K747 MYSGX .00 5.60000 SELL ONLY 92647K754 MIGSX .00 1.32000 SELL ONLY 92647P480 CCNAX 5.75 .25 1.52000 SELL ONLY 1.00 2.22000 SELL ONLY 92647P514 CCNIX .00 1.39000 SELL ONLY 92647P530 CCOAX 5.75 .25 1.61000 SELL ONLY 1.00 2.18000 SELL ONLY 92647P555 CCOIX .00 1.31000 SELL ONLY 926464835 SSGSX 5.75 .25 1.31000 BUY,SELL 92646A815 VSOIX .00 0.97000 SELL ONLY 92646A559 VSOYX .00 1.34000 SELL ONLY 926464389 GOGFX .50 1.53000 SELL ONLY 92647K630 VSORX .00 1.14000 SELL ONLY 92646A385 VCEMX 92647P498 CCNCX 92647P548 CCOCX 1.00 1.00 1.00 Revised 19 Sept 2016 Page 21 of 68 Fund Family Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Fund Name Victory Sophus Emerging Markets Small Cap Fund Class A Victory Sophus Emerging Markets Small Cap Fund Class C Victory Sophus Emerging Markets Small Cap Fund Class Y Victory CEMP Long/Short Strategy Fund Class A Victory CEMP Long/Short Strategy Fund Class C Victory CEMP Long/Short Strategy Fund Class I Victory NewBridge Large Cap Growth Fund Class A Victory RS Growth Fund Class A Victory RS Science and Technology Fund Class A Victory NewBridge Large Cap Growth Fund Class C Victory RS Growth Fund Class C Victory RS Science and Technology Fund Class C Victory NewBridge Large Cap Growth Fund Class I Victory RS Growth Fund Class Y Victory RS Science and Technology Fund Class Y Victory NewBridge Large Cap Growth Fund Class Y Victory NewBridge Large Cap Growth Fund Class R Victory RS Growth Fund Class R Victory RS Science and Technology Fund Class R Victory Trivalent International Small-Cap Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92647Q793 RSMSX 5.75 Redemption Fee Buy/Sell Eligible .25 2.36000 SELL ONLY 1.00 2.97000 SELL ONLY 1.93000 SELL ONLY .25 1.78000 SELL ONLY 1.00 2.52000 SELL ONLY 92647P324 CHLIX .00 1.65000 SELL ONLY 92646A500 VFGAX 5.75 92647K275 RSGRX 5.75 .25 1.26000 .25 1.18000 BUY,SELL SELL ONLY 92647Q504 RSIFX .25 1.47000 SELL ONLY 92647Q785 RSMGX 1.00 92647Q777 RSMYX 92647P225 CHLAX 5.75 92647P316 CHLCX 1.00 5.75 92646A708 VFGCX RGWC 92647K267 X 1.00 1.00 2.13000 BUY,SELL 1.00 1.00 2.00000 SELL ONLY 92647Q603 RINCX 1.00 1.00 2.26000 SELL ONLY .00 1.04000 0.94000 SELL ONLY SELL ONLY 1.23000 SELL ONLY 92646A583 VFGYX .00 1.04000 SELL ONLY 92646A609 VFGRX 92647K259 RSGKX .50 3.06000 .50 1.79000 SELL ONLY SELL ONLY 92647Q702 RIFKX .50 1.97000 SELL ONLY .25 1.74000 BUY,SELL 92646A666 VFGIX 92647K242 RGRYX 92647Q801 RIFYX 92647K101 MISAX 5.75 Revised 19 Sept 2016 Page 22 of 68 Fund Family Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Fund Name Victory Trivalent International Small-Cap Fund Class C Victory Trivalent International Small-Cap Fund Class I Victory Trivalent International Small-Cap Fund Class Y Victory Trivalent International Small-Cap Fund Class R6 Victory INCORE Total Return Bond Fund Class A Victory INCORE Total Return Bond Fund Class C Victory INCORE Total Return Bond Fund Class Y Victory INCORE Total Return Bond Fund Class R6 Victory National Municipal Bond Fund Class A Victory National Municipal Bond Fund Class Y Victory Diversified Stock Fund Class A Victory Special Value Fund Class A Victory Select Fund Class A Victory Special Value Fund Class C Victory Diversified Stock Fund Class C Victory Select Fund Class I Victory Special Value Fund Class I Victory Diversified Stock Fund Class I Victory Special Value Fund Class Y Victory Diversified Stock Fund Class Y Victory Special Value Fund Class R Victory Diversified Stock Fund Class R6 Victory Tax-Exempt Fund Class A Victory High Income Municipal Bond Fund Class A Victory Tax-Exempt Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92647K200 MCISX 1.00 1.00 2.72000 Redemption Fee Buy/Sell Eligible BUY,SELL 92647K309 MISIX .00 1.19000 SELL ONLY 92647K507 MYSIX .00 1.41000 SELL ONLY 92647K408 MSSIX .00 1.73000 SELL ONLY 92646A351 MUCAX 2.00 .25 1.23000 BUY,SELL 1.00 2.08000 BUY,SELL 92646A344 MUCCX 1.00 92646A336 MUCYX .00 0.73000 SELL ONLY 92646A138 MUCRX .00 1.53000 SELL ONLY 926464728 VNMAX 2.00 .25 1.09000 BUY,SELL 92646A575 926464603 926464843 92646A450 926464116 926464157 92646A443 92646A823 92646A856 92646A567 92646A641 926464264 VNMYX SRVEX 5.75 SSVSX 5.75 VFSAX 5.75 VSVCX VDSCX VSIFX VSPIX VDSIX VSVYX VDSYX VSVGX 1.00 1.00 92646A435 VDSRX 92647K317 GUTEX 2.00 92647K531 RSHMX 2.00 92647K291 RETCX 1.00 .00 .25 .25 .25 1.00 1.00 .00 .00 .00 .00 .00 .50 1.10000 1.09000 1.35000 3.16000 2.21000 1.91000 1.31000 1.09000 0.81000 1.58000 0.98000 1.63000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY .00 2.01000 .25 0.91000 SELL ONLY SELL ONLY .25 0.93000 1.00 1.68000 SELL ONLY SELL ONLY Revised 19 Sept 2016 Page 23 of 68 Fund Family Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Fund Name Victory High Income Municipal Bond Fund Class C Victory Tax-Exempt Fund Class Y Victory High Income Municipal Bond Fund Class Y Victory RS Partners Fund Class A Victory RS Partners Fund Class Y Victory RS Partners Fund Class R Victory INCORE Investment Grade Convertible Fund Class A Victory INCORE Investment Grade Convertible Fund Class I Victory Trivalent Emerging Markets SmallCap Fund Class A Victory Trivalent Emerging Markets SmallCap Fund Class Y Victory RS Global Fund Class A Victory RS Global Fund Class C Victory RS Global Fund Class Y Victory RS Global Fund Class R Victory RS Value Fund Class A Victory RS Investors Fund Class A Victory RS Value Fund Class C Victory RS Investors Fund Class C Victory RS Value Fund Class Y Victory RS Investors Fund Class Y Victory RS Value Fund Class R Victory RS Investors Fund Class R Victory RS Small Cap Equity Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92647K523 RSHCX 92647K283 RSTYX 1.00 1.71000 0.69000 SELL ONLY SELL ONLY RHMYX RSPFX 5.75 RSPYX RSPKX 0.71000 .25 1.41000 1.17000 .50 1.85000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY 926464538 SBFCX 2.00 .25 1.40000 BUY,SELL 92646A781 VICIX .00 1.02000 SELL ONLY 92646A328 MAEMX 5.75 .25 7.87000 SELL ONLY .00 4.99000 .25 1.54000 1.00 2.34000 1.32000 .50 1.81000 .25 1.25000 .25 1.49000 1.00 2.03000 1.00 2.27000 1.10000 1.19000 .50 1.58000 .50 1.89000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY 92647K143 GPSCX 5.75 .25 1.27000 SELL ONLY Victory RS Select Growth Fund Class A 92647K184 RSDGX 5.75 Victory RS Small Cap Growth Fund Class A 92647Q108 RSEGX 5.75 Victory RS Small Cap Equity Fund Class C 92647K135 RSCCX .25 1.43000 SELL ONLY .25 1.39000 SELL ONLY 1.00 2.36000 SELL ONLY 92647K499 92647Q546 92647Q520 92647Q538 92646A310 92647Q769 92647Q751 92647Q736 92647Q744 92647Q512 92647Q637 92647Q496 92647Q629 92647Q470 92647Q595 92647Q488 92647Q611 MYEMX RSGGX 5.75 RGGCX RGGYX RGGKX RSVAX 5.75 RSINX 5.75 RVACX RIVCX RSVYX RSIYX RSVKX RSIKX 1.00 Redemption Fee Buy/Sell Eligible 1.00 1.00 1.00 1.00 Revised 19 Sept 2016 Page 24 of 68 Fund Family Fund Name CUSIP Ticker Victory Victory RS Select Growth Fund Class C 92647K176 RSGFX Victory RS Small Cap Growth Fund Class REGW C 92647Q207 X Victory RS Small Cap Equity Fund Class Y 92647K119 RSCYX Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 1.00 1.00 2.19000 SELL ONLY 1.00 1.00 2.16000 SELL ONLY 1.05000 SELL ONLY 1.17000 SELL ONLY 1.16000 SELL ONLY .50 1.74000 SELL ONLY .50 1.89000 SELL ONLY Victory Victory RS Select Growth Fund Class R 92647K168 RSDKX Victory RS Small Cap Growth Fund Class R 92647Q306 RSEKX .50 1.74000 SELL ONLY Victory Victory Integrity Discovery Fund Class A 92647K606 MMEAX 5.75 .25 1.73000 BUY,SELL Victory Victory Integrity Discovery Fund Class C 92647K705 MMECX 1.00 2.51000 BUY,SELL Victory Victory Integrity Discovery Fund Class Y 92647K887 MMEYX .00 1.46000 SELL ONLY Victory Victory Integrity Discovery Fund Class R Victory NewBridge Global Equity Fund Class A Victory RS Large Cap Alpha Fund Class A Victory NewBridge Global Equity Fund Class C Victory RS Large Cap Alpha Fund Class C Victory NewBridge Global Equity Fund Class I Victory RS Large Cap Alpha Fund Class Y 92647K804 MMERX .50 2.78000 SELL ONLY 92646A690 VPGEX 5.75 .25 2.03000 SELL ONLY 92647Q587 GPAFX 5.75 .25 0.88000 SELL ONLY Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory RS Select Growth Fund Class Y 92647K150 RSSYX Victory RS Small Cap Growth Fund Class Y 92647Q405 RSYEX Victory RS Small Cap Equity Fund Class R 92647K127 RSCKX 1.00 92646A682 VPGCX 1.00 1.00 2.50000 SELL ONLY 92647Q579 RCOCX 1.00 1.00 1.68000 SELL ONLY 92646A674 VPGYX .00 1.60000 SELL ONLY 92647Q553 RCEYX 0.67000 SELL ONLY Revised 19 Sept 2016 Page 25 of 68 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Victory Victory NewBridge Global Equity Fund Class R 92646A484 VGERX .50 4.10000 SELL ONLY 92647K671 VGESX .00 1.93000 SELL ONLY 92647Q561 RCEKX .50 1.28000 SELL ONLY 5.75 .25 1.61000 BUY,SELL 92647P365 CVHAX 5.75 .25 1.42000 SELL ONLY Victory Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Victory Victory Victory Victory Victory Victory NewBridge Global Equity Fund R6 Victory RS Large Cap Alpha Fund Class R Victory CEMP International Volatility Wtd Index Fund Class A Victory CEMP International Enhanced Volatility Wtd Index Fund Class A Victory CEMP International Volatility Wtd Index Fund Class C Victory CEMP International Enhanced Volatility Wtd Index Fund Class C Victory CEMP International Volatility Wtd Index Fund Class I Victory CEMP International Enhanced Volatility Wtd Index Fund Class I Victory CEMP Market Neutral Income Fund Class A Victory CEMP Market Neutral Income Fund Class C Victory CEMP Market Neutral Income Fund Class I Victory High Yield Fund Class A Victory High Yield Fund Class C Victory High Yield Fund Class Y Victory High Yield Fund Class R Victory Victory RS Mid Cap Growth Fund Class A 92647K234 RSMOX 5.75 Victory Victory RS Mid Cap Growth Fund Class C 92647K226 RMOCX Victory Victory RS Mid Cap Growth Fund Class Y 92647K192 RMOYX 1.05000 SELL ONLY Victory Victory RS Mid Cap Growth Fund Class R 92647K218 RSMKX .50 1.73000 SELL ONLY Victory Victory Victory Victory Victory Victory Victory Victory Victory 92647P332 CTIAX 92647P340 CTICX 1.00 1.00 2.28000 BUY,SELL 92647P373 CVHCX 1.00 1.00 2.14000 SELL ONLY 92647P357 CTIIX .00 1.35000 SELL ONLY 92647P381 CVHIX .00 1.20000 SELL ONLY 92647P639 CBHAX 5.75 .25 1.17000 SELL ONLY 1.00 1.00 1.91000 SELL ONLY 1.00 .00 0.96000 .25 1.13000 1.00 1.87000 0.92000 .50 1.38000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY .25 1.29000 SELL ONLY 1.00 2.09000 SELL ONLY 92647P647 CBHCX 92647P654 92647K481 92647K473 92647K457 92647K465 CBHIX GUHYX 2.00 RHYCX RSYYX RHYKX 1.00 Revised 19 Sept 2016 Page 26 of 68 Fund Family Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Fund Name Victory Trivalent International Fund-Core Equity Class A Victory RS International Fund Class A Victory Trivalent International Fund-Core Equity Class C Victory RS International Fund Class C Victory Trivalent International Fund-Core Equity Class Y Victory Trivalent International Fund-Core Equity Class I Victory RS International Fund Class Y Victory Trivalent International Fund-Core Equity Class R6 Victory RS International Fund Class R Victory Munder Mid-Cap Core Growth Fund Class A Victory Munder Mid-Cap Core Growth Fund Class C Victory Munder Mid-Cap Core Growth Fund Class Y Victory Munder Mid-Cap Core Growth Fund Class R6 Victory Munder Mid-Cap Core Growth Fund Class R Victory CEMP US Small Cap Volatility Wtd Index Fund Class A Victory CEMP US Small Cap Volatility Wtd Index Fund Class C Victory CEMP US Small Cap Volatility Wtd Index Fund Class I Victory CEMP US 500 Volatility Wtd Index Fund Class A Victory CEMP US 500 Enhanced Volatility Wtd Index Fund Class A Victory CEMP US 500 Enhanced Volatility Wtd Index Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92646A179 MAICX 5.75 92647Q728 GUBGX 5.75 Redemption Fee Buy/Sell Eligible .25 2.33000 .25 1.82000 BUY,SELL SELL ONLY 1.00 3.70000 1.00 2.75000 BUY,SELL SELL ONLY 92646A146 MICYX .00 1.71000 SELL ONLY 92646A153 MICIX 92647Q686 RSIGX .00 8.04000 1.69000 SELL ONLY SELL ONLY 92646A120 MAIRX 92647Q694 RIGKX .00 2.68000 .50 2.26000 SELL ONLY SELL ONLY 92647K879 MGOAX 5.75 .25 1.32000 BUY,SELL 1.00 2.02000 BUY,SELL 92646A161 MICCX 92647Q710 RIGCX 92647K861 MGOTX 1.00 1.00 1.00 92647K838 MGOYX .00 1.07000 SELL ONLY 92647K846 MGOSX .00 0.88000 SELL ONLY 92647K853 MMSRX .50 1.67000 SELL ONLY 92647P563 CHSAX 5.75 .25 1.59000 BUY,SELL 1.00 2.11000 BUY,SELL 92647P456 CHSCX 1.00 92647P233 CHSIX .00 1.08000 SELL ONLY 92647P100 CFLAX 5.75 .25 1.29000 BUY,SELL 92647P266 CUHAX 5.75 .25 1.22000 SELL ONLY 1.00 1.94000 SELL ONLY 92647P241 CUHCX 1.00 Revised 19 Sept 2016 Page 27 of 68 Fund Family Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Fund Name Victory CEMP US 500 Volatility Wtd Index Fund Class C Victory CEMP US 500 Enhanced Volatility Wtd Index Fund Class I Victory CEMP US 500 Volatility Wtd Index Fund Class I Victory CEMP US 500 Volatility Wtd Index Fund Class R6 Victory Sophus Emerging Markets Fund Class A Victory Sophus Emerging Markets Fund Class C Victory Sophus Emerging Markets Fund Class Y Victory Sophus Emerging Markets Fund Class R Victory Strategic Income Fund Class A Victory Strategic Income Fund Class C Victory Strategic Income Fund Class Y Victory Strategic Income Fund Class R Victory Integrity Small-Cap Value Fund Class A Victory Integrity Small-Cap Value Fund Class C Victory Integrity Small-Cap Value Fund Class Y Victory Integrity Small-Cap Value Fund Class R6 Victory Integrity Small-Cap Value Fund Class R Victory Sophus China Fund Class A Victory Sophus China Fund Class C Victory Sophus China Fund Class Y Victory Sophus China Fund Class R Victory Global Natural Resources Fund Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92647P803 CFLCX 1.00 1.00 1.97000 Redemption Fee Buy/Sell Eligible BUY,SELL 92647P258 CUHIX .00 0.96000 SELL ONLY 92647P787 CFLIX .00 1.02000 SELL ONLY 92647P217 CFLHX .00 1.00000 SELL ONLY 92647Q843 GBEMX 5.75 .25 1.56000 BUY,SELL 1.00 2.36000 BUY,SELL 92647Q835 REMGX 1.00 92647Q819 RSENX 92647Q827 92647K358 92647K341 92647K325 92647K333 REMKX RSIAX 2.00 RSICX RSRYX RINKX 1.00 92647K820 VSCVX 5.75 92647K812 MCVSX 1.00 1.28000 SELL ONLY .50 1.86000 .25 1.13000 1.00 1.94000 0.95000 .50 1.42000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY .25 1.52000 BUY,SELL 1.00 2.25000 BUY,SELL 92647K770 VSVIX .00 1.20000 SELL ONLY 92647K788 MVSSX .00 1.01000 SELL ONLY .50 1.99000 .25 2.03000 1.00 2.76000 1.74000 .50 2.24000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY .25 1.44000 SELL ONLY 92647K796 92647Q884 92647Q876 92647Q850 92647Q868 MRVSX RSCHX 5.75 RCHCX RCHYX RCHKX 92647Q678 RSNRX 5.75 1.00 Revised 19 Sept 2016 Page 28 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Victory Victory Global Natural Resources Fund Class C Victory Global Natural Resources Fund Class Y Victory Global Natural Resources Fund Class R Victory INCORE Low Duration Bond Fund Class A Victory INCORE Low Duration Bond Fund Class C Victory INCORE Low Duration Bond Fund Class Y Victory INCORE Low Duration Bond Fund Class R Victory INCORE Investment Quality Bond Fund Class A Victory INCORE Investment Quality Bond Fund Class C Victory INCORE Investment Quality Bond Fund Class Y Victory INCORE Investment Quality Bond Fund Class R Victory Victory INCORE Fund for Income Class A 926464751 IPFIX Victory Victory INCORE Fund for Income Class C 926464173 VFFCX Victory Victory INCORE Fund for Income Class I 92646A658 VFFIX .00 0.65000 SELL ONLY Victory Victory INCORE Fund for Income Class Y 92646A625 VFFYX .00 0.90000 SELL ONLY Victory Victory INCORE Fund for Income Class R 926464397 GGIFX Victory INCORE Fund for Income Class R6 92646A112 VFFRX Victory CEMP Global High Dividend Defensive Fund Class A 92647N790 LTGAX 5.75 .25 0.95000 SELL ONLY .00 0.99000 SELL ONLY .25 1.56000 SELL ONLY Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory 92647Q660 RGNCX 1.00 1.00 2.25000 SELL ONLY 92647Q645 RSNYX 1.14000 SELL ONLY 92647Q652 RSNKX .50 1.73000 SELL ONLY 92647K390 RLDAX 2.00 .25 0.83000 SELL ONLY 1.00 1.60000 SELL ONLY 92647K366 RSDYX 0.60000 SELL ONLY 92647K374 RLDKX .50 1.19000 SELL ONLY 92647K440 GUIQX 2.00 .25 1.04000 SELL ONLY 1.00 1.83000 SELL ONLY 0.83000 SELL ONLY .50 1.47000 SELL ONLY .25 0.94000 BUY,SELL 1.00 1.72000 BUY,SELL 92647K382 RLDCX 1.00 92647K432 RIQCX 1.00 92647K424 RSQYX 92647K416 RIQKX 2.00 1.00 Revised 19 Sept 2016 Page 29 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Victory Victory CEMP Global High Dividend Defensive Fund Class C 92647N717 LTGCX Victory CEMP Alternative Strategies Fund Class A 92647N733 CAIAX 5.75 Victory CEMP Alternative Strategies Fund Class C 92647N741 CAICX Victory Victory Strategic Allocation Fund Class A 926464876 SBALX 5.75 Victory Victory Strategic Allocation Fund Class C 92646A104 VBFCX Victory Victory Strategic Allocation Fund Class I 92646A799 VBFIX .00 9.23000 SELL ONLY Victory Victory Strategic Allocation Fund Class R Victory Integrity Small/Mid-Cap Value Fund Class A Victory Integrity Small/Mid-Cap Value Fund Class Y Victory Integrity Small/Mid-Cap Value Fund Class R6 Victory Floating Rate Fund Class A Victory Floating Rate Fund Class C Victory Floating Rate Fund Class Y Victory Floating Rate Fund Class R Victory Integrity Mid-Cap Value Fund Class A Victory Integrity Mid-Cap Value Fund Class Y Victory Integrity Mid-Cap Value Fund Class R6 Victory CEMP Ultra Short Term Fixed Income Fund Class A Victory CEMP Enhanced Fixed Income Fund Class A Victory CEMP REC Enhanced Volatility Wtd Index Fund Class A 926464272 VBFGX .50 2.56000 SELL ONLY .25 3.74000 BUY,SELL .00 1.67000 SELL ONLY .00 3.18000 .25 1.05000 1.00 1.84000 0.83000 .50 1.41000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory Victory 92646A195 MAISX 1.00 1.00 1.00 5.75 92646A187 MYISX 92647K739 92647K572 92647K564 92647K549 92647K556 MIRSX RSFLX 2.00 RSFCX RSFYX RSFKX 1.00 1.00 2.12000 SELL ONLY .25 1.79000 SELL ONLY 1.00 2.21000 SELL ONLY .25 1.77000 BUY,SELL 1.00 2.69000 BUY,SELL 92646A229 MAIMX 5.75 .25 2.20000 BUY,SELL 92646A211 MYIMX .00 1.71000 SELL ONLY 92647K598 MRIMX .00 1.91000 SELL ONLY 92647P837 1.00 0.25 0.94000 SELL ONLY 92647P738 2.00 0.25 0.98000 SELL ONLY 92647P274 5.75 0.25 1.68000 SELL ONLY Revised 19 Sept 2016 Page 30 of 68 Fund Family Victory Victory Victory Victory Fund Name Victory CEMP Enhanced Fixed Income Fund Class C Victory Dividend Growth Fund Class I Victory Dividend Growth Fund Class Y Victory Dividend Growth Fund Class A Victory CEMP REC Enhanced Volatility Wtd Index Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 1.00 1.00 0.00 0.00 0.25 1.73000 1.81000 2.24000 2.26000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY 92647P282 1.00 1.00 2.43000 SELL ONLY 92646A724 VISKX 92646A534 VDGCX 1.00 1.00 1.00 2.80000 1.00 3.20000 SELL ONLY SELL ONLY Viking Victory International Select Fund Class C Victory Dividend Growth Fund Class C Viking Tax-Free Fund For Montana Class A Viking Tax-Free Fund for North Dakota Class A Virtus Virtus Virtus Victory Victory Victory Viking Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus 92647P746 92646A526 VDGIX 92646A492 VDGYX 92646A542 VDGAX Redemption Fee Buy/Sell Eligible 5.75 926826108 VMTTX 2.50 .25 1.15000 BUY,SELL 926826207 VNDFX 2.50 .25 1.24000 BUY,SELL Virtus International Equity Fund Class A 92828R222 VIEAX .25 2.28000 BUY,SELL Virtus International Equity Fund Class C Virtus International Equity Fund Class I Virtus International Wealth Masters Fund Class A Virtus International Wealth Masters Fund Class C Virtus International Wealth Masters Fund Class I Virtus Emerging Markets Debt Fund Class A Virtus Emerging Markets Debt Fund Class C Virtus Emerging Markets Debt Fund Class I Virtus Greater European Opportunities Fund Class A 92828R214 VIECX 92828R198 VIIEX 5.75 1.00 92828W510 VIWAX 5.75 92828W494 VIWCX 1.00 92828W585 VWIIX 92828W403 VEDAX 3.75 92828W502 VEDCX 92828W601 VIEDX 92828R347 VGEAX 5.75 NWWO Virtus Global Opportunities Fund Class A 92828R446 X 5.75 Virtus Foreign Opportunities Fund Class A 92828R859 JVIAX 5.75 1.00 1.00 3.03000 2.03000 BUY,SELL SELL ONLY .25 3.84000 SELL ONLY 1.00 4.59000 SELL ONLY 3.59000 SELL ONLY .25 1.49000 BUY,SELL 1.00 2.24000 BUY,SELL 1.24000 SELL ONLY .25 1.89000 BUY,SELL .25 1.45000 BUY,SELL .25 1.41000 BUY,SELL Revised 19 Sept 2016 Page 31 of 68 Fund Family Fund Name Virtus Virtus Emerging Markets Opportunities Fund Class A Virtus Virtus Virtus Virtus Virtus Virtus CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92828T707 HEMZX 5.75 WWOB Virtus Global Opportunities Fund Class B 92828R438 X Virtus Greater European Opportunities Fund Class C 92828R339 VGECX WWOC Virtus Global Opportunities Fund Class C 92828R420 X Virtus Foreign Opportunities Fund Class C 92828R842 JVICX Virtus Emerging Markets Opportunities Fund Class C 92828T806 PICEX Virtus Greater European Opportunities Fund Class I 92828R321 VGEIX .25 1.56000 Redemption Fee Buy/Sell Eligible BUY,SELL 5.00 1.00 2.20000 SELL ONLY 1.00 1.00 2.64000 BUY,SELL 1.00 1.00 2.20000 BUY,SELL 1.00 1.00 2.16000 BUY,SELL 1.00 1.00 2.31000 BUY,SELL 1.64000 SELL ONLY Virtus Foreign Opportunities Fund Class I 92828R834 JVXIX Virtus Emerging Markets Opportunities Fund Class I 92828T889 HIEMX 1.16000 SELL ONLY 1.31000 SELL ONLY 92828W775 WWOIX 1.20000 SELL ONLY Virtus Virtus Virtus Virtus Virtus Global Opportunities Fund Class I Virtus Emerging Markets Equity Income Fund Class A Virtus Emerging Markets Equity Income Fund Class C Virtus Emerging Markets Equity Income Fund Class I Virtus High Yield Fund Class A Virtus High Yield Fund Class B Virtus High Yield Fund Class C 92828W882 92828R784 92828R776 92828R768 VEIIX PHCHX 3.75 PHCCX PGHCX Virtus Virtus Virtus Virtus Virtus High Yield Fund Class I Virtus Contrarian Value Fund Class A Virtus Contrarian Value Fund Class C Virtus Contrarian Value Fund Class I 92828W767 92828N726 92828N718 92828N692 PHCIX FMIVX FMICX PIMVX Virtus Virtus Essential Resources Fund Class A 92828W429 VERAX 5.75 Virtus Virtus Virtus Virtus Virtus 92828W700 VEIAX 5.75 92828W809 VEICX .25 1.78000 BUY,SELL 1.00 1.00 2.53000 BUY,SELL 5.00 1.00 1.53000 .25 1.33000 1.00 2.08000 1.00 2.08000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL 1.08000 .25 1.41000 1.00 2.16000 1.16000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY .25 6.27000 SELL ONLY 5.75 1.00 Revised 19 Sept 2016 Page 32 of 68 Fund Family Fund Name Virtus Virtus Essential Resources Fund Class C 92828W411 VERCX Virtus Virtus Virtus Virtus Virtus Virtus Essential Resources Fund Class I Virtus Strategic Growth Fund Class A Virtus Strategic Growth Fund Class B Virtus Strategic Growth Fund Class C Virtus Strategic Growth Fund Class Institutional Virtus Virtus Senior Floating Rate Fund Class A 92828R545 PSFRX 2.75 Virtus Virtus Senior Floating Rate Fund Class C 92828R537 PFSRX Virtus Virtus Virtus Virtus Virtus Senior Floating Rate Fund Class I Virtus Multi-Asset Trend Fund Class A Virtus Multi-Asset Trend Fund Class C Virtus Multi-Asset Trend Fund Class I 92828R529 92828R180 92828R172 92828R164 Virtus Virtus Global Equity Trend Fund Class A 92828R156 VGPAX 5.75 Virtus Virtus Global Equity Trend Fund Class C 92828R149 VGPCX Virtus Virtus Global Equity Trend Fund Class I 92828R131 VGPIX Virtus Virtus Low Volatility Equity Fund Class A 92828W650 VLVAX 5.75 Virtus Virtus Low Volatility Equity Fund Class C Virtus Select MLP and Energy Fund Class A Virtus Select MLP and Energy Fund Class I Virtus Emerging Markets Small-Cap Fund Class A Virtus International Small-Cap Fund Class A 92828W643 VLVCX Virtus Virtus Virtus Virtus CUSIP 92828W395 92828N510 92828N494 92828N486 Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio VERIX PSTAX 5.75 PBTHX SSTFX 1.00 1.00 7.02000 SELL ONLY 5.00 1.00 6.02000 .25 1.30000 1.00 2.05000 1.00 2.05000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL 1.05000 SELL ONLY .25 1.20000 SELL ONLY 1.00 1.95000 SELL ONLY 0.95000 .25 1.75000 1.00 2.50000 1.50000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY 92828N478 PLXGX 1.00 PSFIX VAAAX 5.75 VAACX VAISX Redemption Fee Buy/Sell Eligible 1.00 1.00 .25 1.78000 BUY,SELL 1.00 2.53000 BUY,SELL 1.53000 SELL ONLY .25 2.90000 SELL ONLY 1.00 3.65000 SELL ONLY .25 2.26000 SELL ONLY 2.01000 SELL ONLY 92828W627 VAESX 5.75 .25 3.63000 SELL ONLY 92828W841 VISAX .25 1.75000 BUY,SELL 1.00 92835M729 VLPAX 5.75 92835M695 VLPIX 5.75 Revised 19 Sept 2016 Page 33 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Emerging Markets Small-Cap Fund Class C Virtus International Small-Cap Fund Class C Virtus Emerging Markets Small-Cap Fund Class I Virtus International Small-Cap Fund Class I Virtus Strategic Income Fund Class A Virtus Strategic Income Fund Class C Virtus Strategic Income Fund Class I Virtus Tax-Exempt Bond Fund Class A Virtus Tax-Exempt Bond Fund Class C Virtus Tax-Exempt Bond Fund Class Institutional Virtus Mid-Cap Growth Fund Class A Virtus Mid-Cap Growth Fund Class B Virtus Mid-Cap Growth Fund Class C Virtus Mid-Cap Growth Fund Class I Virtus Quality Small-Cap Fund Class A Virtus Quality Small-Cap Fund Class C Virtus Quality Small-Cap Fund Class I Virtus Equity Trend Fund Class A Virtus Equity Trend Fund Class C Virtus Equity Trend Fund Class I Virtus Virtus Herzfeld Fund Class A 92828W874 VHFAX 5.75 Virtus Virtus Herzfeld Fund Class C 92828W866 VHFCX Virtus Virtus Virtus Virtus Virtus Herzfeld Fund Class I Virtus Growth & Income Fund Class A Virtus Growth & Income Fund Class C Virtus Growth & Income fund Class I 92828W858 92828N874 92828N858 92828N841 Virtus Virtus Sector Trend Fund Class A 92828R487 PWBAX 5.75 Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Redemption Fee Buy/Sell Eligible 92828W619 VCESX 1.00 1.00 4.38000 SELL ONLY 92828W833 VCISX 1.00 1.00 2.50000 BUY,SELL 92828W593 VIESX 92828W825 92835M877 92835M869 92835M851 92828T632 92828T624 VIISX VASBX 3.75 VSBCX VISBX HXBZX 2.75 PXCZX 92828T616 92828N767 92828N759 92828N742 92828N734 92828N684 92828N676 92828N668 92828R255 92828R248 92828R230 HXBIX PHSKX 5.75 PSKBX PSKCX PICMX PQSAX 5.75 PQSCX PXQSX VAPAX 5.75 VAPCX VAPIX VHFIX PDIAX PGICX PXIIX 1.00 1.00 5.00 1.00 1.00 1.00 1.00 5.75 1.00 3.38000 SELL ONLY 1.50000 .25 2.42000 1.00 3.17000 2.17000 .25 1.00000 1.00 1.75000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY BUY,SELL BUY,SELL 0.75000 .25 1.49000 1.00 2.24000 1.00 2.24000 1.24000 .25 1.30000 1.00 2.05000 1.05000 .25 1.55000 1.00 2.30000 1.30000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY BUY,SELL BUY,SELL SELL ONLY BUY,SELL BUY,SELL SELL ONLY .25 2.91000 BUY,SELL 1.00 3.66000 BUY,SELL 2.66000 .25 1.54000 1.00 2.29000 1.29000 SELL ONLY BUY,SELL BUY,SELL SELL ONLY .25 1.01000 SELL ONLY Revised 19 Sept 2016 Page 34 of 68 Fund Family Fund Name CUSIP Virtus Virtus Virtus Sector Trend Fund Class C Virtus Sector Trend Fund Class I Virtus Multi-Strategy Target Return Fund Class A Virtus Multi-Strategy Target Return Fund Class C Virtus Multi-Strategy Target Return Fund Class I Virtus California Tax-Exempt Bond Fund Class A Virtus California Tax-Exempt Bond Fund Class Institutional Virtus Mid-Cap Core Fund Class A Virtus Mid-Cap Core Fund Class C Virtus Mid-Cap Core Fund Class I Virtus Small-Cap Core Fund Class A Virtus Small-Cap Sustainable Growth Fund Class A Virtus Small-Cap Core Fund Class C Virtus Small-Cap Sustainable Growth Fund Class C Virtus Small-Cap Core Fund Class I Virtus Small-Cap Sustainable Growth Fund Class Institutional Virtus Global Real Estate Securities Fund Class A Virtus Real Estate Securities Fund Class A Virtus Real Estate Securities Fund Class B Virtus Global Real Estate Securities Fund Class C Virtus Real Estate Securities Fund Class C Virtus Global Real Estate Securities Fund Class I 92828R479 PWBCX 92828R271 VARIX Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 1.00 92835M794 VMSAX 5.75 92835M786 VCMSX 1.00 92835M778 VMSIX 92828R503 CTESX 2.75 92828R602 92828N114 92828N122 92828N130 92828N551 CTXEX VMACX 5.75 VMCCX VIMCX PKSAX 5.75 92828N627 PSGAX 5.75 92828N536 PKSCX 92828N619 PSGCX 92828N528 PKSFX 1.00 1.76000 0.76000 SELL ONLY SELL ONLY .25 2.27000 SELL ONLY 1.00 3.02000 SELL ONLY 2.02000 SELL ONLY .25 1.18000 1.00 1.00 1.00 92828N593 PXSGX Redemption Fee Buy/Sell Eligible BUY,SELL 0.93000 .25 1.64000 1.00 2.39000 1.39000 .25 1.37000 BUY,SELL BUY,SELL BUY,SELL SELL ONLY BUY,SELL .25 1.54000 1.00 2.12000 BUY,SELL BUY,SELL 1.00 2.29000 1.12000 BUY,SELL SELL ONLY 1.29000 SELL ONLY 92828R412 VGSAX 5.75 .25 1.50000 BUY,SELL 92828R586 PHRAX 5.75 .25 1.36000 BUY,SELL 92828R578 PHRBX 5.00 1.00 2.11000 SELL ONLY 92828R396 VGSCX 1.00 1.00 2.25000 BUY,SELL 92828R560 PHRCX 1.00 1.00 2.11000 BUY,SELL 92828R388 VGISX 1.25000 SELL ONLY Revised 19 Sept 2016 Page 35 of 68 Fund Family Fund Name Virtus Virtus Virtus Real Estate Securities Fund Class I 92828R552 PHRIX VWMA Virtus Wealth Masters Fund Class A 92828W817 X 5.75 VWMC Virtus Wealth Masters Fund Class C 92828W791 X Virtus Virtus Wealth Masters Fund Class I 92828W783 VWMIX Virtus Virtus Credit Opportunities Fund Class A 92835M760 VCOAX 3.75 Virtus Virtus Credit Opportunities Fund Class C 92835M752 VCOCX Virtus Virtus Virtus Credit Opportunities Fund Class I Virtus Quality Large-Cap Value Fund Class A Virtus Quality Large-Cap Value Fund Class C Virtus Quality Large-Cap Value Fund Class Institutional Virtus Virtus Global Infrastructure Fund Class A 92828R826 PGUAX 5.75 Virtus Virtus Global Infrastructure Fund Class C 92828R818 PGUCX Virtus Virtus Virtus Virtus Virtus Virtus Global Infrastructure Fund Class I Virtus International Real Estate Securities Fund Class A Virtus International Real Estate Securities Fund Class C Virtus International Real Estate Securities Fund Class I Virtus Balanced Fund Class A Virtus Balanced Fund Class B Virtus Balanced Fund Class C Virtus Virtus Low Duration Income Fund Class A 92828T764 HIMZX Virtus Virtus Virtus Virtus Virtus CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 1.11000 1.00 1.00 92835M745 VCOIX 92828N460 PPTAX 5.75 92828N452 PPTCX 1.00 92828N445 PIPTX 92828R792 PGIUX 92828R743 PXRCX 92828R735 92828N403 92828N502 92828N601 BUY,SELL 1.00 2.21000 BUY,SELL 1.21000 SELL ONLY .25 1.71000 SELL ONLY 1.00 2.46000 SELL ONLY 1.46000 SELL ONLY .25 1.44000 BUY,SELL 1.00 2.19000 BUY,SELL PXRIX PHBLX 5.75 PBCBX PSBCX 2.25 SELL ONLY .25 1.22000 BUY,SELL 1.00 1.97000 BUY,SELL 0.97000 92828R750 PXRAX 5.75 SELL ONLY .25 1.46000 1.19000 1.00 Redemption Fee Buy/Sell Eligible SELL ONLY .25 1.78000 BUY,SELL 1.00 1.00 2.53000 BUY,SELL 5.00 1.00 1.53000 .25 1.40000 1.00 1.89000 1.00 1.89000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL .25 1.12000 BUY,SELL Revised 19 Sept 2016 Page 36 of 68 Fund Family Fund Name CUSIP Virtus Virtus Low Duration Income Fund Class C Virtus Low Duration Income Fund Class Institutional Virtus Bond Fund Class A Virtus Bond Fund Class B Virtus Bond Fund Class C Virtus Bond Fund Class I Virtus Tactical Allocation Fund Class A Virtus Multi-Sector Short Term Bond Fund Class A Virtus Multi-Sector Intermediate Bond Fund Class A Virtus Tactical Allocation Fund Class B Virtus Multi-Sector Short Term Bond Fund Class B Virtus Multi-Sector Intermediate Bond Fund Class B Virtus Tactical Allocation Fund Class C Virtus Multi-Sector Short Term Bond Fund Class C Virtus Multi-Sector Intermediate Bond Fund Class C Virtus Multi-Sector Intermediate Bond Fund Class I Virtus Multi-Sector Short Term Bond Fund Class I Virtus Multi-Sector Short Term Bond Fund Class T Virtus Alternatives Diversifier Fund Class A Virtus Alternatives Diversifier Fund Class C Virtus Alternatives Diversifier Fund Class I Virtus Dynamic Trend Fund Class B Virtus Dynamic Trend Fund Class C 92828T756 PCMZX Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus Virtus 92828T749 92828R107 92828R206 92828R305 92828R404 92828N791 Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio HIBIX SAVAX 3.75 SAVBX SAVCX SAVYX NAINX 5.75 Redemption Fee Buy/Sell Eligible 1.00 1.00 1.87000 BUY,SELL 5.00 1.00 0.87000 .25 1.13000 1.00 1.88000 1.00 1.88000 0.88000 .25 1.34000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY BUY,SELL 92828R644 NARAX 2.25 .25 0.97000 BUY,SELL 92828R677 NAMFX 3.75 92828N783 NBINX 5.00 .25 1.11000 1.00 2.09000 BUY,SELL SELL ONLY 92828R636 PBARX 2.00 .75 1.47000 SELL ONLY 92828R669 NBMFX 92828N775 POICX 5.00 1.00 1.00 1.86000 1.00 2.09000 SELL ONLY BUY,SELL 92828R628 PSTCX 92828R651 NCMFX 1.00 .50 1.22000 BUY,SELL 1.00 1.86000 BUY,SELL 92828R289 VMFIX 0.86000 SELL ONLY 92828R610 PIMSX 0.72000 SELL ONLY 1.00 1.72000 SELL ONLY .25 1.62000 SELL ONLY 1.00 2.37000 SELL ONLY 1.37000 1.00 2.02000 1.00 2.02000 SELL ONLY SELL ONLY SELL ONLY 92828R594 PMSTX 1.00 92828R875 PDPAX 5.75 92828R867 PDPCX 92828R313 VADIX 92828R719 92828R693 1.00 5.00 1.00 Revised 19 Sept 2016 Page 37 of 68 Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Fund Family Fund Name CUSIP Voya Voya Voya Voya Securitized Credit Fund Class A Voya Securitized Credit Fund Class I Voya Large-Cap Growth Fund Class A Voya Voya Voya Voya Global Equity Fund Class A Voya Growth and Income Portfolio Class A Voya Large-Cap Growth Fund Class B 92913M740 VCFAX 2.50 92913M732 VCFIX 92913K801 NLCAX 5.75 NAWG 92913X811 X 5.75 Voya Voya Voya Global Equity Fund Class B Voya Large-Cap Growth Fund Class C Voya Voya Global Equity Fund Class C Voya Voya Voya Voya Growth and Income Portfolio Class I 92913H105 IIVGX Voya Large-Cap Growth Fund Class I 92913K504 PLCIX Voya Global Equity Fund Class I 92914A752 NAWIX Voya Voya Voya Voya Voya Voya Voya Voya Voya Large Cap Growth Portfolio Class A Voya Large-Cap Growth Fund Class W Voya Large-Cap Growth Fund Class R Voya Floating Rate Fund Class A Voya Floating Rate Fund Class C Voya Floating Rate Fund Class I Voya Floating Rate Fund Class W Voya Floating Rate Fund Class R Voya Voya Voya MidCap Opportunities Fund Class A 92913K884 NMCAX 5.75 Voya MidCap Opportunities Portfolio Class A 92913P503 IAMOX Voya Voya MidCap Opportunities Fund Class B 92913K876 NMCBX Voya Voya MidCap Opportunities Fund Class C 92913K868 NMCCX Voya Voya MidCap Opportunities Fund Class I 92913K850 NMCIX 92913H303 IAVGX 92913K702 NLCBX 92913X829 NAWBX 92913K603 NLCCX NAWC 92913X837 X 92914G783 92913K579 92913K561 92913L791 92913L817 92913L825 92913L833 92913L841 IEOPX IGOWX VGORX IFRAX 2.50 IFRCX IFRIX IFRWX IFRRX Redemption Fee Buy/Sell Eligible .25 1.04000 0.82000 .35 1.49000 SELL ONLY SELL ONLY BUY,SELL .25 1.47000 BUY,SELL 5.00 .50 1.13000 1.00 2.14000 SELL ONLY SELL ONLY 5.00 1.00 1.00 2.22000 1.00 2.14000 SELL ONLY BUY,SELL 1.00 1.00 2.22000 BUY,SELL 1.00 0.63000 0.93000 1.21000 SELL ONLY SELL ONLY SELL ONLY .60 1.27000 1.14000 .50 1.64000 .25 1.08000 1.00 1.83000 0.79000 0.83000 .50 1.33000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY SELL ONLY .25 1.33000 BUY,SELL .50 1.31000 SELL ONLY 5.00 1.00 2.08000 SELL ONLY 1.00 1.00 2.08000 BUY,SELL 1.01000 SELL ONLY Revised 19 Sept 2016 Page 38 of 68 Fund Family Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Fund Name Voya MidCap Opportunities Fund Class W Voya GNMA Income Fund Class A Voya GNMA Income Fund Class B Voya GNMA Income Fund Class C Voya GNMA Income Fund Class I Voya GNMA Income Fund Class W Voya Corporate Leaders 100 Fund Class A Voya Corporate Leaders 100 Fund Class B Voya Corporate Leaders 100 Fund Class C Voya Corporate Leaders 100 Fund Class I Voya Corporate Leaders 100 Fund Class W Voya Corporate Leaders 100 Fund Class R Voya High Yield Bond Fund Class A Voya High Yield Bond Fund Class B Voya High Yield Bond Fund Class C Voya High Yield Bond Fund Class I Voya High Yield Bond Fund Class W Voya Small Company Fund Class A Voya Small Company Fund Class B Voya Small Company Fund Class C Voya Small Company Fund Class I Voya Small Company Fund Class W Voya SmallCap Opportunities Fund Class A Voya SmallCap Opportunities Fund Class B Voya SmallCap Opportunities Fund Class C Voya SmallCap Opportunities Fund Class I Gross Front End 12b-1 Expense Load CDSC Fees Ratio CUSIP Ticker 92913K744 92913L692 92913L718 92913L726 92913L734 92913L767 IMOWX LEXNX 2.50 LEXBX LEGNX LEINX IGMWX 92913R681 IACLX 5.00 1.00 5.75 1.08000 .25 0.93000 1.00 1.68000 1.00 1.68000 0.64000 0.68000 .25 0.93000 Redemption Fee Buy/Sell Eligible SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY BUY,SELL 92913R699 IBCLX 5.00 1.00 1.68000 SELL ONLY 92913R715 ICCLX 1.00 1.00 1.68000 BUY,SELL 92913R723 IICLX 0.56000 SELL ONLY 92913R731 IWCLX 0.68000 SELL ONLY 1.18000 1.07000 1.82000 1.82000 0.69000 0.82000 .25 1.37000 1.00 2.12000 1.00 2.12000 1.14000 1.12000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY 92913R400 92913L627 92913L635 92913L643 92913L783 92913L866 92913R590 92913R582 92913R574 92913R566 92913R780 IRCLX IHYAX 2.50 INYBX IMYCX IHYIX IHYWX AESAX 5.75 ASMLX ASCCX AESGX ISMWX 5.00 1.00 5.00 1.00 92913K405 NSPAX 5.75 .50 .25 1.00 1.00 .25 1.41000 BUY,SELL 92913K306 NSPBX 5.00 1.00 2.16000 SELL ONLY 92913K207 NSPCX 1.00 1.00 2.16000 BUY,SELL 92913K108 NSPIX 1.11000 SELL ONLY Revised 19 Sept 2016 Page 39 of 68 Fund Family Fund Name CUSIP Ticker Voya Voya SmallCap Opportunities Fund Class W Voya SmallCap Opportunities Fund Class R Voya Multi-Manager International Small Cap Fund Class A Voya Multi-Manager International Small Cap Fund Class B Voya Multi-Manager International Small Cap Fund Class C Voya Multi-Manager International Small Cap Fund Class I Voya Multi-Manager International Small Cap Fund Class W VY® T. Rowe Price Capital Appreciation Portfolio Class A Voya Mid Cap Research Enhanced Index Fund Class A Voya Mid Cap Research Enhanced Index Fund Class B Voya Mid Cap Research Enhanced Index Fund Class C Voya Mid Cap Research Enhanced Index Fund Class I Voya Mid Cap Research Enhanced Index Fund Class W Voya Mid Cap Research Enhanced Index Fund Class R Voya Global Equity Dividend Fund Class A Voya Global Equity Dividend Fund Class B Voya Global Equity Dividend Fund Class C Voya Voya Global Equity Dividend Fund Class I 92914A109 IGEIX Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 92913K710 ISOWX 1.16000 SELL ONLY 92913K777 ISORX .50 1.66000 SELL ONLY 92913X779 NTKLX 5.75 .35 1.75000 BUY,SELL 92913X787 NAPBX 5.00 1.00 2.40000 SELL ONLY 92913X795 NARCX 1.00 1.00 2.40000 BUY,SELL 92914A760 NAPIX 1.31000 SELL ONLY 92914A307 ISCWX 1.40000 SELL ONLY .60 1.24000 SELL ONLY .25 1.04000 BUY,SELL 92914G619 ITRAX 92913R442 AIMAX 5.75 92913R434 APMBX 5.00 1.00 1.79000 92913R467 APMCX 1.00 .75 1.54000 SELL ONLY BUY,SELL 92913R459 AIMIX 0.71000 SELL ONLY 92913R822 AIMWX 0.79000 SELL ONLY 92913R608 AIMRX .50 1.29000 SELL ONLY .25 1.54000 BUY,SELL 92913X308 IAGEX 5.75 92913X209 IBGEX 5.00 1.00 2.29000 SELL ONLY 92913X100 ICGEX 1.00 1.00 2.29000 BUY,SELL 1.14000 SELL ONLY Revised 19 Sept 2016 Page 40 of 68 Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Fund Family Fund Name CUSIP Voya Voya Voya Global Equity Dividend Fund Class W Voya Russia Fund Class A 92914A703 IGEWX 92913X886 LETRX 5.75 Voya Voya Russia Fund Class I 92913W698 IIRFX Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Russia Fund Class W VY® Franklin Income Portfolio Class A Voya Real Estate Fund Class A Voya Global Real Estate Fund Class A Voya Real Estate Fund Class B Voya Global Real Estate Fund Class B Voya Real Estate Fund Class C Voya Global Real Estate Fund Class C Voya Real Estate Fund Class I Voya Global Real Estate Fund Class I 92913W672 92914E705 92913K652 92913X845 92913K637 92913X852 92913K629 92913X860 92913K595 92914A885 Voya Voya Redemption Fee Buy/Sell Eligible 1.29000 .25 2.14000 SELL ONLY SELL ONLY 1.82000 SELL ONLY 1.89000 1.37000 1.28000 1.26000 2.03000 2.01000 2.03000 2.01000 0.91000 0.99000 SELL ONLY SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY VY® Clarion Real Estate Portfolio Class I 92914G569 IVRIX Voya Real Estate Fund Class W 92913K694 IREWX 0.84000 1.03000 SELL ONLY SELL ONLY Voya Voya Global Real Estate Fund Class W Voya Voya Real Estate Fund Class R Voya Voya Global Real Estate Fund Class R Voya International Real Estate Fund Class A Voya International Real Estate Fund Class B Voya International Real Estate Fund Class C Voya International Real Estate Fund Class I Voya International Real Estate Fund Class W Voya Multi-Manager Emerging Markets Equity Fund Class A Voya Voya Voya Voya Voya Voya IWRFX IIFAX CLARX 5.75 IGLAX 5.75 CRBCX IGBAX CRCRX IGCAX CRARX IGLIX 5.00 5.00 1.00 1.00 .60 .25 .25 1.00 1.00 1.00 1.00 92914A604 IRGWX CRWR 92913K785 X 1.01000 SELL ONLY .50 1.53000 SELL ONLY 92913W656 IGARX .50 1.51000 SELL ONLY .25 1.40000 BUY,SELL 92914A778 IIRAX 5.75 92914A786 IIRBX 5.00 1.00 2.15000 SELL ONLY 92914A794 IIRCX 1.00 1.00 2.15000 BUY,SELL 92914A810 IIRIX 1.09000 SELL ONLY 92914A406 IIRWX 1.15000 SELL ONLY 92913W714 IEMHX 5.75 .25 1.82000 BUY,SELL Revised 19 Sept 2016 Page 41 of 68 Fund Family Voya Voya Voya Fund Name Voya Multi-Manager Emerging Markets Equity Fund Class B Voya Multi-Manager Emerging Markets Equity Fund Class C Voya Multi-Manager Emerging Markets Equity Fund Class I Voya Multi-Manager Emerging Markets Equity Fund Class W Voya Multi-Manager Emerging Markets Equity Fund Class R CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 92913W755 IEMEX 5.00 1.00 2.57000 SELL ONLY 92913W722 IEMJX 1.00 1.00 2.57000 BUY,SELL 92913W680 IEMGX 1.34000 SELL ONLY 92913W748 IEMLX 1.57000 SELL ONLY 92913W730 IEMKX .50 2.07000 SELL ONLY 92913W763 IICWX 1.11000 SELL ONLY 92912M105 LEXCX 0.59000 SELL ONLY .25 1.25000 SELL ONLY 1.00 2.00000 SELL ONLY 92913L874 IISIX 0.87000 SELL ONLY 92913L809 ISIWX 1.00000 SELL ONLY .50 1.50000 .25 0.96000 .25 0.98000 SELL ONLY BUY,SELL BUY,SELL Voya Voya Voya Voya Voya Voya Voya Voya International Core Fund Class W Voya Corporate Leaders Trust Fund Series B Voya Strategic Income Opportunities Fund Class A Voya Strategic Income Opportunities Fund Class C Voya Strategic Income Opportunities Fund Class I Voya Strategic Income Opportunities Fund Class W Voya Strategic Income Opportunities Fund Class R Voya Short Term Bond Fund Class A Voya Global Bond Fund Class A Voya Limited Maturity Bond Portfolio Class A Voya Global Bond Fund Class B Voya Short Term Bond Fund Class C Voya Global Bond Fund Class C Voya Short Term Bond Fund Class I Voya Global Bond Fund Class I Voya Short Term Bond Fund Class W Voya Voya Global Bond Fund Class W 92913W508 IGBWX Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya 92913L700 ISIAX 2.50 92913L601 ISICX 92913L882 ISIRX 92913L502 IASBX 92914A828 INGBX 92914E200 92914A836 92913L403 92914A844 92913L304 92914A851 92913L106 IMBAX IGBBX ICSBX IGBCX IISBX IGBIX IWSBX 1.00 2.50 2.50 5.00 1.00 1.00 .60 1.00 1.00 1.00 0.88000 1.73000 1.71000 1.73000 0.63000 0.61000 0.71000 SELL ONLY SELL ONLY BUY,SELL BUY,SELL SELL ONLY SELL ONLY SELL ONLY 0.73000 SELL ONLY Revised 19 Sept 2016 Page 42 of 68 Fund Family Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Fund Name VY® BlackRock Inflation Protected Bond Portfolio Class A VY® Invesco Equity and Income Portfolio Class A Voya Intermediate Bond Fund Class A Voya Intermediate Bond Fund Class B Voya Intermediate Bond Fund Class C Voya Intermediate Bond Fund Class I Voya Intermediate Bond Fund Class W Voya Intermediate Bond Fund Class R Voya Target Retirement 2060 Fund Class A Voya Target Retirement 2055 Fund Class A Voya Target Retirement 2050 Fund Class A Voya Target Retirement 2045 Fund Class A Voya Target Retirement 2040 Fund Class A Voya Target Retirement 2035 Fund Class A Voya Target Retirement 2030 Fund Class A Voya Target Retirement 2060 Fund Class I Voya Target Retirement 2030 Fund Class I Voya Target Retirement 2035 Fund Class I Voya Target Retirement 2040 Fund Class I Voya Target Retirement 2045 Fund Class I Voya Target Retirement 2050 Fund Class I CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 92914C667 IBRAX 92914K875 92913L650 92913L668 92913L676 92913L684 92913L775 92913L742 IUAAX IIBAX IIBBX IICCX IICIX IIBWX IIBOX .60 1.16000 SELL ONLY 1.17000 0.66000 1.41000 1.41000 0.33000 0.41000 .50 0.91000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY SELL ONLY 92913M518 VTRSX 5.75 .25 9.57000 SELL ONLY 92913M534 VTRQX 5.75 .25 9.57000 SELL ONLY 92913M559 VTROX 5.75 .25 9.58000 SELL ONLY 92913M575 VTRMX 5.75 .25 9.58000 SELL ONLY 92913M591 VTRJX 5.75 .25 9.57000 SELL ONLY 92913M625 VTRGX 5.75 .25 9.57000 SELL ONLY 92913M641 VTREX 5.75 .25 9.53000 SELL ONLY 2.50 5.00 1.00 .50 .25 1.00 1.00 Redemption Fee Buy/Sell Eligible 92913M724 VRSAX 70.84000 SELL ONLY 92913M781 IRSMX 69.95000 SELL ONLY 92913M799 IRSNX 69.63000 SELL ONLY 92913M815 IRSOX 68.45000 SELL ONLY 92913M823 IRSPX 68.15000 SELL ONLY 92913M831 IRSQX 68.23000 SELL ONLY Revised 19 Sept 2016 Page 43 of 68 Fund Family Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Voya Fund Name Voya Target Retirement 2055 Fund Class I Voya Capital Allocation Fund Class A Voya Capital Allocation Fund Class B Voya Capital Allocation Fund Class C Voya Capital Allocation Fund Class I Voya Capital Allocation Fund Class W Voya Target Retirement 2025 Fund Class A Voya Target Retirement 2020 Fund Class A Voya In-Retirement Fund Class A Voya Global Target Payment Fund Class A Gross Front End 12b-1 Expense Load CDSC Fees Ratio CUSIP Ticker 92913M849 92913R517 92913R491 92913R483 92913R475 92913R848 IRSVX ATLAX 5.75 ALYBX ACLGX ALEGX IAFWX Redemption Fee Buy/Sell Eligible 68.21000 .25 1.47000 1.00 2.22000 1.00 2.22000 1.18000 1.22000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY 92913M666 VTRCX 5.75 .25 9.52000 SELL ONLY 92913M682 VFTRX 5.75 92913M716 VTRVX 5.75 .25 25.10000 .25 9.44000 SELL ONLY SELL ONLY 92913R632 IGPAX 5.75 .25 1.33000 SELL ONLY Voya Global Perspectives Fund Class A 92913W862 IAPVX Voya Global Target Payment Fund Class C 92913R657 IGPCX 5.75 .25 1.53000 SELL ONLY 1.00 1.00 2.08000 SELL ONLY 1.00 1.00 2.28000 SELL ONLY Voya Global Perspectives Fund Class C Voya Target Retirement 2020 Fund Class I Voya Target Retirement 2025 Fund Class I Voya In-Retirement Fund Class I Voya Global Target Payment Fund Class I Voya Global Target Payment Fund Class W Voya Diversified International Fund Class A Voya Diversified International Fund Class B Voya Diversified International Fund Class C Voya Diversified International Fund Class I 92913W870 ICPVX 5.00 1.00 92913M765 IRSJX 23.33000 SELL ONLY 92913M773 IRSLX 92913M856 ISOLX 71.25000 74.98000 SELL ONLY SELL ONLY 92913R665 IGPIX 1.03000 SELL ONLY 92913R673 IGPWX 1.08000 SELL ONLY 92914A711 IFFAX 5.75 .25 1.74000 BUY,SELL 92914A729 IFFBX 5.00 1.00 2.49000 SELL ONLY 92914A737 IFFCX 1.00 1.00 2.49000 BUY,SELL 92914A745 IFFIX 1.41000 SELL ONLY Revised 19 Sept 2016 Page 44 of 68 Fund Family Voya Fund Name Voya Diversified International Fund Class W Voya Retirement Moderate Portfolio Class A Voya Retirement Moderate Growth Portfolio Class A Voya Solution Income Portfolio Class ADV CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 92914A802 IDFWX 1.49000 SELL ONLY 92914C865 IRMPX .50 1.16000 SELL ONLY 92914C881 IRMGX .50 1.14000 SELL ONLY 92914H302 ISWAX .50 1.28000 SELL ONLY .50 1.14000 SELL ONLY Voya Voya Retirement Growth Portfolio Class A 92914C709 IRGPX Voya Index Solution 2045 Portfolio Class ADV 92914H591 ISJAX .50 1.13000 SELL ONLY Voya Voya Voya Voya Voya Voya Voya Voya Solution 2025 Portfolio Class ADV Voya Large Cap Value Fund Class A Voya Large Cap Value Fund Class B Voya Large Cap Value Fund Class C Voya Large Cap Value Fund Class I Voya Large Cap Value Fund Class W Voya Large Cap Value Fund Class R Voya Voya Index Solution 2015 Portfolio Class I 92914H682 ISSIX Voya Voya Aggregate Bond Portfolio Class A Waddell & Reed Advisor Core Investment Fund Class A Waddell & Reed Advisor Cash Management Fund Class A Wasatch Long/Short Fund Institutional Class Shares Voya Voya Voya Voya Waddell & Reed Waddell & Reed Wasatch Wasatch Wasatch Wasatch 92914H880 92913K645 92913K660 92913K678 92913K686 92913K736 92913K751 ISZAX IEDAX 5.75 IBEDX IEDCX IEDIX IWEDX IEDRX 92914K727 IPRAX 930057104 UNCMX 5.75 930057534 UNCXX 936793769 WILSX Wasatch Long/Short Fund Investor Class 936793835 FMLSX Wasatch Emerging Markets Select Fund Institutional Class Shares 936793744 WIESX Wasatch Emerging Markets Select Fund Investor Class Shares 936793751 WAESX 5.00 1.00 .50 .25 1.00 1.00 1.40000 1.20000 1.95000 1.95000 0.83000 0.95000 .50 1.45000 SELL ONLY BUY,SELL SELL ONLY BUY,SELL SELL ONLY SELL ONLY SELL ONLY 0.27000 SELL ONLY 0.50 1.09000 SELL ONLY .25 1.03000 SELL ONLY 0.80000 SELL ONLY 1.47000 2.00 SELL ONLY 1.61000 2.00 SELL ONLY 1.52000 2.00 SELL ONLY 1.75000 2.00 SELL ONLY Revised 19 Sept 2016 Page 45 of 68 Fund Family Fund Name Wasatch Wasatch Emerging India Fund® Investor Class Wasatch Strategic Income Fund Wasatch Global Opportunities Fund® Investor Class Wasatch International Growth Fund® Institutional Class Wasatch International Growth Fund® Investor Class Wasatch Large Cap Value Fund Institutional Class Shares Wasatch Large Cap Value Fund Investor Class Shares Wasatch Wasatch Small Cap Value Fund Wasatch Wasatch Wasatch Micro Cap Value Fund Wasatch International Opportunities Fund® Institutional Class Wasatch International Opportunities Fund® Investor Class Wasatch Micro Cap Fund Wasatch Emerging Markets Small Cap Fund® Investor Class Wasatch World Innovators Fund® Investor Class Wasatch Small Cap Growth Fund® Institutional Class Wasatch Small Cap Growth Fund® Investor Class Wasatch Wasatch Ultra Growth Fund Wasatch Wasatch Wasatch-Hoisington U.S. Treasury Fund Wasatch-1st Source Income Fund Wasatch Frontier Emerging Small Countries Fund® Institutional Class Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch Wasatch CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 936793827 WAINX 936793801 WASIX WAGO 936793868 X 1.87000 1.51000 2.00 2.00 SELL ONLY SELL ONLY 1.56000 2.00 SELL ONLY 936793694 WIIGX 1.37000 2.00 SELL ONLY 936793405 WAIGX 1.50000 2.00 SELL ONLY 936793785 WILCX 1.44000 2.00 SELL ONLY 936793843 FMIEX WMCV 936793207 X WAMV 936793504 X 1.12000 2.00 SELL ONLY 1.21000 2.00 SELL ONLY 2.09000 2.00 SELL ONLY 936793686 WIIOX 1.96000 2.00 SELL ONLY 936793702 WAIOX 936772508 WMICX WAEM 936793884 X 2.23000 1.90000 2.00 2.00 SELL ONLY SELL ONLY 1.91000 2.00 SELL ONLY 936793306 WAGTX 1.76000 2.00 SELL ONLY 936793678 WIAEX 1.09000 2.00 SELL ONLY 936772102 WAAEX WAMC 936772409 X WHOS 936772300 X 936793850 FMEQX 1.22000 2.00 SELL ONLY 1.38000 2.00 SELL ONLY 0.67000 0.73000 2.00 2.00 SELL ONLY SELL ONLY 936793652 WIFMX 2.09000 2.00 SELL ONLY Revised 19 Sept 2016 Page 46 of 68 Fund Family Fund Name Wasatch Wasatch Frontier Emerging Small Countries Fund Investor Class Shares Wasatch Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio WAFM 936793819 X WGRO Wasatch Core Growth Fund 936772201 X Wells Fargo Growth Fund - Class A 949915672 SGRAX 5.75 Wells Fargo Capital Growth Fund - Class WFCG A 949921100 X 5.75 WGFC Wells Fargo Growth Fund - Class C 949915722 X Wells Fargo Capital Growth Fund - Class C 949921209 WFCCX Wells Fargo Capital Growth Fund - Class Inst 949915615 WWCIX Wells Fargo Growth Fund - Class Inst 949915714 SGRNX Wells Fargo Capital Growth Fund - Class Admin 949915631 WFCDX Wells Fargo Growth Fund - Class Admin Wells Fargo Specialized Technology Fund - Class A Wells Fargo Omega Growth Fund - Class A Wells Fargo Endeavor Select Fund Class A Wells Fargo Specialized Technology Fund - Class B Wells Fargo Omega Growth Fund - Class B Wells Fargo Specialized Technology Fund - Class C Wells Fargo Omega Growth Fund - Class C Wells Fargo Endeavor Select Fund Class C Wells Fargo Omega Growth Fund - Class Inst Redemption Fee Buy/Sell Eligible 2.28000 2.00 SELL ONLY 1.17000 .00 1.13000 2.00 SELL ONLY SELL ONLY .00 1.22000 SELL ONLY 1.00 .75 1.88000 SELL ONLY 1.00 .75 1.97000 SELL ONLY .00 0.89000 .00 0.80000 SELL ONLY SELL ONLY .00 1.14000 SELL ONLY 949915698 SGRKX .00 1.05000 SELL ONLY 94975H148 WFSTX 5.75 .00 1.45000 SELL ONLY 94985D103 EKOAX 5.75 .00 1.27000 SELL ONLY 949915599 STAEX 5.75 .00 1.19000 SELL ONLY 94975H130 WFTBX 5.00 .75 2.20000 SELL ONLY 94985D202 EKOBX 5.00 .75 2.02000 SELL ONLY 94975H122 WFTCX 1.00 .75 2.20000 SELL ONLY 94985D301 EKOCX WECC 949915573 X 1.00 .75 2.02000 SELL ONLY 1.00 .75 1.94000 SELL ONLY .00 0.94000 SELL ONLY 94975P520 EKONX Revised 19 Sept 2016 Page 47 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo Omega Growth Fund - Class Admin Wells Fargo Endeavor Select Fund Class Inst Wells Fargo Specialized Technology Fund - Class Admin Wells Fargo Endeavor Select Fund Class Admin Wells Fargo Dow Jones Target 2040 Fund - Class A Wells Fargo Dow Jones Target 2030 Fund - Class A Wells Fargo Dow Jones Target 2020 Fund - Class A Wells Fargo Disciplined U.S. Core Fund Class A Wells Fargo Index Fund - Class A Wells Fargo Dow Jones Target 2055 Fund - Class A Wells Fargo Dow Jones Target 2045 Fund - Class A Wells Fargo Dow Jones Target 2035 Fund - Class A Wells Fargo Dow Jones Target 2025 Fund - Class A Wells Fargo Dow Jones Target 2050 Fund - Class A Wells Fargo Dow Jones Target 2040 Fund - Class B Wells Fargo Dow Jones Target 2030 Fund - Class B Wells Fargo Dow Jones Target 2020 Fund - Class B Wells Fargo Index Fund - Class B Wells Fargo Dow Jones Target 2040 Fund - Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 94985D400 EOMYX .00 1.19000 SELL ONLY 949915565 WFCIX .00 0.86000 SELL ONLY 94975P710 WFTDX WECD 949915557 X .00 1.37000 SELL ONLY .00 1.11000 SELL ONLY 94975G140 STFRX 5.75 .00 0.84000 SELL ONLY 94975G181 STHRX 5.75 .00 0.83000 SELL ONLY 94975G231 STTRX 5.75 .00 0.83000 SELL ONLY 94984B173 EVSAX 5.75 94984B777 WFILX 5.75 .00 0.84000 .00 0.63000 SELL ONLY BUY,SELL 94987W570 WFQZX 5.75 .00 0.90000 SELL ONLY 94987W588 WFQVX 5.75 .00 0.85000 SELL ONLY 94987W596 WFQBX 5.75 .00 0.84000 SELL ONLY 94987W612 WFAYX 5.75 .00 0.83000 SELL ONLY 94987W869 WFQAX 5.75 .00 0.84000 SELL ONLY 94975G132 SLPBX 5.00 .75 1.59000 SELL ONLY 94975G173 SGPBX 5.00 .75 1.58000 SELL ONLY 94975G223 STPBX 94984B769 WFIMX 5.00 5.00 .75 1.58000 .75 1.38000 SELL ONLY SELL ONLY 94975G124 WFOFX 1.00 .75 1.59000 SELL ONLY Revised 19 Sept 2016 Page 48 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible Fund Name CUSIP Wells Fargo Dow Jones Target 2030 Fund - Class C Wells Fargo Dow Jones Target 2020 Fund - Class C Wells Fargo Disciplined U.S. Core Fund Class C Wells Fargo Index Fund - Class C Wells Fargo Dow Jones Target 2050 Fund - Class C Wells Fargo Index Fund - Class Admin Wells Fargo Disciplined U.S. Core Fund Class Inst Wells Fargo Disciplined U.S. Core Fund Class Admin Wells Fargo Dow Jones Target 2040 Fund - Class Admin Wells Fargo Dow Jones Target 2030 Fund - Class Admin Wells Fargo Dow Jones Target 2020 Fund - Class Admin Wells Fargo Dow Jones Target 2025 Fund - Class Admin Wells Fargo Dow Jones Target 2035 Fund - Class Admin Wells Fargo Dow Jones Target 2050 Fund - Class Admin Wells Fargo Dow Jones Target 2045 Fund - Class Admin Wells Fargo Dow Jones Target 2055 Fund - Class Admin Wells Fargo Wisconsin Tax-Free Fund Class A Wells Fargo Wisconsin Tax-Free Fund Class C Wells Fargo California Tax-Free Fund Class A WFDM 94975G165 X 1.00 .75 1.58000 SELL ONLY 94975G215 WFLAX 1.00 .75 1.58000 SELL ONLY 94984B165 EVSTX 94984B561 WFINX WFQC 94987W851 X 94975G686 WFIOX 1.00 1.00 .75 1.59000 .75 1.38000 SELL ONLY BUY,SELL 1.00 .75 1.59000 .00 0.40000 SELL ONLY SELL ONLY 94975P728 EVSIX .00 0.51000 SELL ONLY 94984B157 EVSYX WFLW 94975G116 X .00 0.76000 SELL ONLY .00 0.76000 SELL ONLY 94975G157 WFLIX .00 0.75000 SELL ONLY 94975G199 WFLPX .00 0.75000 SELL ONLY 94984B405 WFTRX WFQW 94984B702 X WFQD 94984B843 X .00 0.75000 SELL ONLY .00 0.76000 SELL ONLY .00 0.76000 SELL ONLY 94984B876 WFQYX .00 0.77000 SELL ONLY 949921191 WFLHX WWTF 949921613 X 4.50 WWTC 949917785 X .00 0.82000 SELL ONLY .00 0.90000 BUY,SELL .75 1.65000 BUY,SELL .00 0.83000 SELL ONLY 94975H718 SCTAX 4.50 1.00 Revised 19 Sept 2016 Page 49 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Wells Fargo Funds Wells Fargo California Tax-Free Fund Class B Wells Fargo California Tax-Free Fund Class C Wells Fargo California Tax-Free Fund Class Inst Wells Fargo California Tax-Free Fund Class Admin Wells Fargo Short-Term High Yield Bond Fund - Class A Wells Fargo Short-Term High Yield Bond Fund - Class C Wells Fargo Short-Term High Yield Bond Fund - Class Inst Wells Fargo Short-Term High Yield Bond Fund - Class Admin Wells Fargo North Carolina Tax-Free Fund - Class A Wells Fargo North Carolina Tax-Free Fund - Class C Wells Fargo North Carolina Tax-Free Fund - Class Inst Wells Fargo Funds Wells Fargo Asia Pacific Fund - Class A 949921886 WFAAX 5.75 Wells Fargo Funds Wells Fargo Asia Pacific Fund - Class C Wells Fargo Asia Pacific Fund - Class Inst Wells Fargo Asia Pacific Fund - Class Admin Wells Fargo Small Company Value Fund Class A Wells Fargo Small Company Value Fund Class C Wells Fargo Small Company Value Fund Class Inst 949921878 WFCAX Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Redemption Fee Buy/Sell Eligible 94975H692 SGCBX 5.00 .75 1.58000 SELL ONLY 94975H684 SCTCX 1.00 .75 1.58000 SELL ONLY 94988A734 SGTIX .00 0.50000 SELL ONLY 94975H676 SGCAX .00 0.77000 SELL ONLY 949917611 SSTHX 3.00 .00 0.93000 SELL ONLY .75 1.68000 SELL ONLY 94987W752 STYIX WDHY 94975P843 X .00 0.60000 SELL ONLY .00 0.87000 SELL ONLY 94985D731 ENCMX 4.50 .00 0.94000 SELL ONLY .75 1.69000 SELL ONLY 94985D715 ENCYX .00 0.61000 SELL ONLY .00 1.68000 SELL ONLY .75 2.43000 SELL ONLY 94975P769 WFPIX .00 1.35000 SELL ONLY 94975P777 WFADX .00 1.60000 SELL ONLY 94975P884 SCVAX 5.75 .00 1.45000 SELL ONLY .75 2.20000 SELL ONLY .00 1.12000 SELL ONLY 949921621 WFHYX 94985D723 ENCCX 94975J748 SCVFX 94975P421 SCVNX 1.00 1.00 1.00 1.00 Revised 19 Sept 2016 Page 50 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo Small Company Value Fund Class Admin Wells Fargo Utility and Telecommunications Fund - Class A Wells Fargo Utility and Telecommunications Fund - Class B Wells Fargo Utility and Telecommunications Fund - Class C Wells Fargo Utility and Telecommunications Fund - Class Inst Wells Fargo Utility and Telecommunications Fund - Class Admin Wells Fargo Colorado Tax-Free Fund Class A Wells Fargo Colorado Tax-Free Fund Class C Wells Fargo Colorado Tax-Free Fund Class Admin Wells Fargo Intermediate Tax/AMT-Free Fund - Class A Wells Fargo Intermediate Tax/AMT-Free Fund - Class C Wells Fargo Intermediate Tax/AMT-Free Fund - Class Inst Wells Fargo Intermediate Tax/AMT-Free Fund - Class Admin Wells Fargo Small Cap Opportunities Fund - Class Inst Wells Fargo Small Cap Opportunities Fund - Class Admin Wells Fargo High Yield Bond Fund Class A Wells Fargo High Yield Bond Fund Class B Wells Fargo High Yield Bond Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 94975P868 SCVIX .00 1.37000 SELL ONLY 94985D483 EVUAX 5.75 .00 1.19000 SELL ONLY 94985D475 EVUBX 5.00 .75 1.94000 SELL ONLY 94985D467 EVUCX 1.00 .75 1.94000 SELL ONLY 94985D459 EVUYX .00 0.86000 SELL ONLY 94975P686 EVUDX NWCO 94975H643 X 4.50 WCOT 949921589 X .00 1.11000 SELL ONLY .00 0.93000 SELL ONLY .75 1.68000 SELL ONLY 94975H627 NCOTX .00 0.87000 SELL ONLY 949921860 WFTAX 3.00 .00 0.80000 BUY,SELL .75 1.55000 BUY,SELL 949921662 WITIX .00 0.47000 SELL ONLY 949921597 WFITX WSCO 94988A718 X .00 0.74000 SELL ONLY .00 1.06000 SELL ONLY 94975G488 NVSOX .00 1.31000 SELL ONLY 94985D210 EKHAX 4.50 .00 0.99000 SELL ONLY 949921852 WFTFX 1.00 1.00 94985D194 EKHBX 5.00 .75 1.74000 SELL ONLY 94985D186 EKHCX 1.00 .75 1.74000 SELL ONLY Revised 19 Sept 2016 Page 51 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name CUSIP Wells Fargo High Yield Bond Fund Class Admin 94985D178 Wells Fargo High Yield Bond Fund Class Inst 94988A726 Wells Fargo Traditional Small Cap Growth Fund - Class A 94985D251 Wells Fargo Traditional Small Cap Growth Fund - Class C 94975P645 Wells Fargo Traditional Small Cap Growth Fund - Class Inst 94985D244 Wells Fargo Traditional Small Cap Growth Fund - Class Admin 94975P652 Wells Fargo Large Company Value Fund Class A 949921696 Wells Fargo Large Company Value Fund Class C 949921811 Wells Fargo Large Company Value Fund Class Inst 949921795 Wells Fargo Large Company Value Fund Class Admin 949915854 Wells Fargo Diversified Equity Fund Class A 94975G108 Wells Fargo Large Cap Growth Fund Class A 94975P462 Wells Fargo Premier Large Company Growth Fund - Class A 94984B496 Wells Fargo Premier Large Company Growth Fund - Class B 94984B488 Wells Fargo Diversified Equity Fund Class C 94975G306 Wells Fargo Large Cap Growth Fund Class C 94975P454 Wells Fargo Premier Large Company Growth Fund - Class C 94984B470 Wells Fargo Large Cap Growth Fund Class Inst 94975P512 Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible EKHYX .00 0.93000 SELL ONLY EKHIX EGWA X 5.75 EGWC X .00 0.66000 SELL ONLY .00 1.48000 SELL ONLY .75 2.23000 SELL ONLY EGRYX EGWD X .00 1.15000 SELL ONLY .00 1.40000 SELL ONLY WLCAX 5.75 .00 1.23000 SELL ONLY .75 1.98000 SELL ONLY WLCIX .00 0.90000 SELL ONLY WWIDX .00 1.15000 SELL ONLY NVDAX 5.75 .00 1.39000 SELL ONLY STAFX 5.75 .00 1.15000 SELL ONLY EKJAX 5.75 .00 1.11000 SELL ONLY WFLVX 1.00 1.00 EKJBX 5.00 .75 1.86000 SELL ONLY WFDEX 1.00 .75 2.14000 SELL ONLY STOFX 1.00 .75 1.90000 SELL ONLY EKJCX 1.00 .75 1.86000 SELL ONLY .00 0.82000 SELL ONLY STNFX Revised 19 Sept 2016 Page 52 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name CUSIP Wells Fargo Premier Large Company Growth Fund - Class Inst 94984B454 Wells Fargo Diversified Equity Fund Class Admin 94975G405 Wells Fargo Large Cap Growth Fund Class Admin 94975P546 Wells Fargo Premier Large Company Growth Fund - Class Admin 94984B462 Wells Fargo Special Mid Cap Value Fund Class A 949921308 Wells Fargo Special Mid Cap Value Fund Class C 949921407 Wells Fargo Special Mid Cap Value Fund Class Inst 949915482 Wells Fargo Special Mid Cap Value Fund Class Admin 949915516 Wells Fargo Special Small Cap Value Fund - Class A 94984B439 Wells Fargo Special Small Cap Value Fund - Class B 94984B421 Wells Fargo Special Small Cap Value Fund - Class C 94984B413 Wells Fargo Special Small Cap Value Fund - Class Inst 94975P447 Wells Fargo Special Small Cap Value Fund - Class Admin 94984B397 Wells Fargo Adjustable Rate Government Fund - Class A 94985D665 Wells Fargo Adjustable Rate Government Fund - Class B 94985D657 Wells Fargo Adjustable Rate Government Fund - Class C 94985D640 Wells Fargo Adjustable Rate Government Fund - Class Inst 94985D632 Wells Fargo Adjustable Rate Government Fund - Class Admin 94975P785 Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible EKJYX .00 0.78000 SELL ONLY NVDEX .00 1.31000 SELL ONLY STDFX .00 1.07000 SELL ONLY WFPDX .00 1.03000 SELL ONLY WFPAX 5.75 .00 1.22000 SELL ONLY .75 1.97000 SELL ONLY WFMIX WFMD X .00 0.89000 SELL ONLY .00 1.14000 SELL ONLY ESPAX 5.75 .00 1.36000 SELL ONLY WFPCX 1.00 ESPBX 5.00 .75 2.11000 SELL ONLY ESPCX 1.00 .75 2.11000 SELL ONLY ESPNX .00 1.03000 SELL ONLY ESPIX .00 1.28000 SELL ONLY ESAAX 2.00 .00 0.79000 SELL ONLY ESABX 1.50 .75 1.54000 SELL ONLY ESACX 1.00 .75 1.54000 SELL ONLY EKIZX .00 0.46000 SELL ONLY ESADX .00 0.73000 SELL ONLY Revised 19 Sept 2016 Page 53 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo Ultra Short-Term Municipal Income Fund - Class A Wells Fargo Ultra Short-Term Municipal Income Fund - Class C Wells Fargo Ultra Short-Term Municipal Income Fund - Class Inst Wells Fargo Ultra Short-Term Municipal Income Fund - Class Admin Wells Fargo Absolute Return Fund Class A Wells Fargo Absolute Return Fund Class C Wells Fargo Absolute Return Fund Class Inst Wells Fargo Absolute Return Fund Class Admin Wells Fargo Asset Allocation Fund Class A Wells Fargo Asset Allocation Fund Class B Wells Fargo Asset Allocation Fund Class C Wells Fargo Asset Allocation Fund Class Admin Wells Fargo Asset Allocation Fund Class Inst Wells Fargo Core Plus Bond Fund Class A Wells Fargo Core Plus Bond Fund Class B Wells Fargo Core Plus Bond Fund Class C Wells Fargo Core Plus Bond Fund Class Institutional Wells Fargo Core Plus Bond Fund Class Admin CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 949917884 SMAVX 2.00 Redemption Fee Buy/Sell Eligible .00 0.74000 SELL ONLY .75 1.49000 SELL ONLY 949917702 SMAIX WUSM 94975P793 X .00 0.41000 SELL ONLY .00 0.68000 SELL ONLY 94987W109 WARAX 5.75 WARC 94987W208 X .00 1.53000 SELL ONLY .75 2.28000 SELL ONLY 94987W737 WABIX WARD 94987W307 X .00 1.20000 SELL ONLY .00 1.45000 SELL ONLY 94985D442 EAAFX 5.75 .00 1.34000 SELL ONLY 949921647 WFUSX 1.00 1.00 94985D434 EABFX 5.00 .75 2.09000 SELL ONLY 94985D426 EACFX 1.00 .75 2.09000 SELL ONLY 94985D418 EAIFX .00 1.26000 SELL ONLY 94987W745 EAAIX .00 1.01000 SELL ONLY 94975H791 STYAX 4.50 .00 0.94000 SELL ONLY 94975H783 STYBX 5.00 .75 1.69000 SELL ONLY 94975H775 WFIPX 1.00 .75 1.69000 SELL ONLY 94984B694 WIPIX .00 0.61000 SELL ONLY 94975P835 WIPDX .00 0.88000 SELL ONLY Revised 19 Sept 2016 Page 54 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo Small Cap Core Fund Institutional Class Wells Fargo Small Cap Value Fund Class A Wells Fargo Small Cap Value Fund Class C Wells Fargo Small Cap Value Fund Class Inst Wells Fargo Small Cap Value Fund Class Admin Wells Fargo Emerging Markets Equity Income Fund - Class A Wells Fargo Emerging Markets Equity Income Fund - Class C Wells Fargo Emerging Markets Equity Income Fund - Class Inst Wells Fargo Emerging Markets Equity Income Fund - Class Admin Wells Fargo Discovery Fund - Class A Wells Fargo Intrinsic Small Cap Value Fund - Class A Wells Fargo Discovery Fund - Class C Wells Fargo Intrinsic Small Cap Value Fund - Class C Wells Fargo Intrinsic Small Cap Value Fund - Class Inst Wells Fargo Discovery Fund - Class Inst Wells Fargo Intrinsic Small Cap Value Fund - Class Admin Wells Fargo Discovery Fund - Class Admin Wells Fargo Diversified Capital Builder Fund - Class A CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 94988V787 WYSCX .00 1.14000 SELL ONLY 949915326 SMVAX 5.75 .00 1.36000 SELL ONLY .75 2.11000 SELL ONLY 949921845 WFSVX .00 1.03000 SELL ONLY 94975P579 SMVDX .00 1.28000 SELL ONLY .00 1.88000 SELL ONLY .75 2.63000 SELL ONLY 94975P371 EQIIX .00 1.55000 SELL ONLY 94975P389 EQIDX .00 1.80000 SELL ONLY 949921506 WFDAX 5.75 WFSM 949921746 X 5.75 WDSC 949921605 X WSCD 949921738 X .00 1.19000 SELL ONLY .00 1.47000 SELL ONLY 1.00 .75 1.94000 SELL ONLY 1.00 .75 2.22000 SELL ONLY 949915235 WFSSX .00 1.14000 SELL ONLY 949917355 WFDSX .00 0.86000 SELL ONLY 949915250 WFSDX .00 1.39000 SELL ONLY 949915359 WFDDX .00 1.11000 SELL ONLY 94985D384 EKBAX 5.75 .00 1.15000 SELL ONLY 949915292 SMVCX 94975P413 EQIAX 1.00 5.75 94975P397 EQICX 1.00 Revised 19 Sept 2016 Page 55 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo Diversified Capital Builder Fund - Class B Wells Fargo Diversified Capital Builder Fund - Class C Wells Fargo Diversified Capital Builder Fund - Class Inst Wells Fargo Diversified Capital Builder Fund - Class Admin Wells Fargo C&B Large Cap Value Fund Class A Wells Fargo C&B Large Cap Value Fund Class B Wells Fargo C&B Large Cap Value Fund Class C Wells Fargo C&B Large Cap Value Fund Class Inst Wells Fargo C&B Large Cap Value Fund Class Admin Wells Fargo Emerging Growth Fund Class A Wells Fargo Emerging Growth Fund Class C Wells Fargo Emerging Growth Fund Class Inst Wells Fargo Emerging Growth Fund Class Admin Wells Fargo Diversified International Fund - Class A Wells Fargo Diversified International Fund - Class B Wells Fargo Diversified International Fund - Class C Wells Fargo Diversified International Fund - Class Inst Wells Fargo Diversified International Fund - Class Admin CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 94985D376 EKBBX 5.00 .75 1.90000 SELL ONLY 94985D368 EKBCX 1.00 .75 1.90000 SELL ONLY 94985D350 EKBYX .00 0.82000 SELL ONLY 94975P678 EKBDX .00 1.07000 SELL ONLY 94975J326 CBEAX 5.75 .00 1.24000 SELL ONLY 94975J318 CBEBX 5.00 .75 1.99000 SELL ONLY 94975J292 CBECX 1.00 .75 1.99000 SELL ONLY 94975J268 CBLSX .00 0.91000 SELL ONLY 94975J276 CBLLX WEMA 949921720 X 5.75 WEMC 949921712 X .00 1.16000 SELL ONLY .00 1.34000 SELL ONLY .75 2.09000 SELL ONLY .00 1.01000 SELL ONLY .00 1.26000 SELL ONLY .00 1.82000 SELL ONLY 1.00 949921688 WEMIX WFGD 949917264 X 94975G678 SILAX 5.75 94975G660 SILBX 5.00 .75 2.57000 SELL ONLY 94975G652 WFECX 1.00 .75 2.57000 SELL ONLY 949917322 WFISX .00 1.49000 SELL ONLY 94975G645 WFIEX .00 1.74000 SELL ONLY Revised 19 Sept 2016 Page 56 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Fund Name CUSIP Wells Fargo WealthBuilder Equity Portfolio Wells Fargo WealthBuilder Growth Allocation Portfolio - Class WB Wells Fargo Intrinsic World Equity Fund Class A Wells Fargo Intrinsic World Equity Fund Class C Wells Fargo Intrinsic World Equity Fund Class Inst Wells Fargo Intrinsic World Equity Fund Class Admin Wells Fargo Pennsylvania Tax-Free Fund - Class A Wells Fargo Pennsylvania Tax-Free Fund - Class B Wells Fargo Pennsylvania Tax-Free Fund - Class C Wells Fargo Pennsylvania Tax-Free Fund - Class Inst Wells Fargo Diversified Income Builder Fund - Class A Wells Fargo Diversified Income Builder Fund - Class B Wells Fargo Diversified Income Builder Fund - Class C Wells Fargo Diversified Income Builder Fund - Class Inst Wells Fargo Diversified Income Builder Fund - Class Admin Wells Fargo High Yield Municipal Bond Fund - Class A Wells Fargo High Yield Municipal Bond Fund - Class C Wells Fargo High Yield Municipal Bond Fund - Class Inst WBGA 94975G439 X 1.50 WBGG 94975J128 X 1.50 Redemption Fee Buy/Sell Eligible .75 2.29000 SELL ONLY .75 2.24000 SELL ONLY .00 1.45000 SELL ONLY .75 2.20000 SELL ONLY 94975P736 EWENX .00 1.12000 SELL ONLY 94985D780 EWEIX .00 1.37000 SELL ONLY 94985D699 EKVAX 4.50 .00 0.90000 SELL ONLY 94985D814 EWEAX 5.75 94985D798 EWECX 1.00 94985D160 EKVBX 5.00 .75 1.65000 SELL ONLY 94985D681 EKVCX 1.00 .75 1.65000 SELL ONLY 94985D673 EKVYX .00 0.57000 SELL ONLY 94985D343 EKSAX 5.75 .00 1.07000 SELL ONLY 94985D335 EKSBX 5.00 .75 1.82000 SELL ONLY 94985D327 EKSCX 1.00 .75 1.82000 SELL ONLY 94985D319 EKSYX .00 0.74000 SELL ONLY 94975P660 EKSDX WHYM 94988A106 X 4.50 WHYC 94988A205 X .00 0.99000 SELL ONLY .00 1.08000 SELL ONLY .75 1.83000 SELL ONLY .00 0.75000 SELL ONLY 94988A403 WHYIX 1.00 Revised 19 Sept 2016 Page 57 of 68 Fund Family Redemption Fee Buy/Sell Eligible Fund Name CUSIP WHYD 94988A304 X .00 1.02000 SELL ONLY 94975A762 WFFAX 5.75 .00 1.45000 SELL ONLY .75 2.20000 SELL ONLY 949917314 WFVIX .00 1.12000 SELL ONLY 949917108 WFVDX .00 1.37000 SELL ONLY 94985D855 EKGAX 5.75 .00 1.55000 SELL ONLY Wells Fargo Funds Wells Fargo Funds Wells Fargo High Yield Municipal Bond Fund - Class Admin Wells Fargo International Value Fund Class A Wells Fargo International Value Fund Class C Wells Fargo International Value Fund Class Inst Wells Fargo International Value Fund Class Admin Wells Fargo Global Opportunities Fund Class A Wells Fargo Global Opportunities Fund Class B Wells Fargo Global Opportunities Fund Class C Wells Fargo Global Opportunities Fund Class Inst Wells Fargo Global Opportunities Fund Class Admin Wells Fargo Large Cap Core Fund Class A Wells Fargo Large Cap Core Fund Class C Wells Fargo Large Cap Core Fund Class Inst Wells Fargo Large Cap Core Fund Class Admin Wells Fargo Enterprise Fund - Class A Wells Fargo Funds Wells Fargo Enterprise Fund - Class B Wells Fargo Funds Wells Fargo Enterprise Fund - Class C 949921134 WENBX WENC 949921779 X Wells Fargo Funds Wells Fargo Enterprise Fund - Class Inst 949915367 WFEIX Wells Fargo Enterprise Fund - Class Admin 949915391 SEPKX Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 949915110 WFVCX 1.00 94985D848 EKGBX 5.00 .75 2.30000 SELL ONLY 94985D830 EKGCX 1.00 .75 2.30000 SELL ONLY 94975P744 EKGIX .00 1.22000 SELL ONLY 94985D822 EKGYX .00 1.47000 SELL ONLY 94984B553 EGOAX 5.75 .00 1.21000 SELL ONLY .75 1.96000 SELL ONLY 94984B520 EGOIX .00 0.88000 SELL ONLY 94984B538 WFLLX 949915375 SENAX 5.75 .00 1.13000 .00 1.25000 SELL ONLY SELL ONLY 5.00 .75 2.00000 SELL ONLY 1.00 .75 2.00000 SELL ONLY .00 0.92000 SELL ONLY .00 1.17000 SELL ONLY 94984B546 EGOCX 1.00 Revised 19 Sept 2016 Page 58 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo California Limited-Term TaxFree Fund - Class A Wells Fargo California Limited-Term TaxFree Fund - Class C Wells Fargo California Limited-Term TaxFree Fund - Class Inst Wells Fargo California Limited-Term TaxFree Fund - Class Admin Wells Fargo Dow Jones Target 2010 Fund - Class A Wells Fargo Dow Jones Target Today Fund - Class A Wells Fargo Dow Jones Target 2010 Fund - Class B Wells Fargo Dow Jones Target Today Fund - Class B Wells Fargo Dow Jones Target 2010 Fund - Class C Wells Fargo Dow Jones Target Today Fund - Class C Wells Fargo Dow Jones Target 2010 Fund - Class Admin Wells Fargo Dow Jones Target Today Fund - Class Admin Wells Fargo Precious Metals Fund Class A Wells Fargo Precious Metals Fund Class B Wells Fargo Precious Metals Fund Class C Wells Fargo Precious Metals Fund Class Inst Wells Fargo Precious Metals Fund Class Admin Wells Fargo C&B Mid Cap Value Fund Class A CUSIP Ticker 94975H668 SFCIX Gross Front End 12b-1 Expense Load CDSC Fees Ratio 2.00 Redemption Fee Buy/Sell Eligible .00 0.83000 SELL ONLY .75 1.58000 SELL ONLY 94988A742 SFCNX .00 0.50000 SELL ONLY 94975H650 SCTIX .00 0.77000 SELL ONLY 94975G272 STNRX 5.75 .00 0.85000 SELL ONLY 94975G322 STWRX 5.75 .00 0.84000 SELL ONLY 94975J755 SFCCX 1.00 94975G264 SPTBX 5.00 .75 1.60000 SELL ONLY 94975G314 WFOKX WFOC 94975G256 X WFOD 94975G298 X 5.00 .75 1.59000 SELL ONLY 1.00 .75 1.60000 SELL ONLY 1.00 .75 1.59000 SELL ONLY 94975G249 WFLGX .00 0.77000 SELL ONLY 94975G280 WFLOX .00 0.76000 SELL ONLY 94985D533 EKWAX 5.75 .00 1.22000 SELL ONLY 94985D525 EKWBX 5.00 .75 1.97000 SELL ONLY 94985D517 EKWCX 1.00 .75 1.97000 SELL ONLY 94985D491 EKWYX .00 0.89000 SELL ONLY 94975P694 EKWDX .00 1.14000 SELL ONLY 94975J250 CBMAX 5.75 .00 1.31000 SELL ONLY Revised 19 Sept 2016 Page 59 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo C&B Mid Cap Value Fund Class B Wells Fargo C&B Mid Cap Value Fund Class C Wells Fargo C&B Mid Cap Value Fund Class Inst Wells Fargo C&B Mid Cap Value Fund Class Admin Wells Fargo Common Stock Fund - Class A Wells Fargo Common Stock Fund - Class B Wells Fargo Common Stock Fund - Class C Wells Fargo Common Stock Fund - Class Inst Wells Fargo Common Stock Fund - Class Admin Wells Fargo Emerging Markets Equity Fund - Class A Wells Fargo Emerging Markets Equity Fund - Class B Wells Fargo Emerging Markets Equity Fund - Class C Wells Fargo Emerging Markets Equity Fund - Class Inst Wells Fargo Emerging Markets Equity Fund - Class Admin Wells Fargo International Equity Fund Class A Wells Fargo International Equity Fund Class B Wells Fargo International Equity Fund Class C Wells Fargo International Equity Fund Class Inst CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 94975J243 CBMBX 5.00 .75 2.06000 SELL ONLY 94975J235 CBMCX 1.00 .75 2.06000 SELL ONLY 94975J193 CBMSX .00 0.98000 SELL ONLY 94975J219 CBMIX .00 1.23000 SELL ONLY 949915441 SCSAX 5.75 .00 1.24000 SELL ONLY 949915433 SCSKX 5.00 .75 1.99000 SELL ONLY 949915425 STSAX 1.00 .75 1.99000 SELL ONLY 94975P611 SCNSX .00 0.91000 SELL ONLY 94975P629 SCSDX .00 1.16000 SELL ONLY 94984B389 EMGAX 5.75 .00 1.61000 SELL ONLY 94984B371 EMGBX 5.00 .75 2.36000 SELL ONLY 94984B363 EMGCX 1.00 .75 2.36000 SELL ONLY 94975P751 EMGNX .00 1.28000 SELL ONLY 94984B355 EMGYX .00 1.53000 SELL ONLY 949915177 WFEAX 5.75 .00 1.51000 SELL ONLY 949915169 WFEBX 5.00 .75 2.26000 SELL ONLY 949915151 WFEFX 1.00 .75 2.26000 SELL ONLY .00 1.18000 SELL ONLY 94984B348 WFENX Revised 19 Sept 2016 Page 60 of 68 Fund Family Fund Name CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Wells Fargo Funds Wells Fargo International Equity Fund Class Admin Wells Fargo Small Company Growth Fund - Class A Wells Fargo Small Company Growth Fund - Class B Wells Fargo Small Company Growth Fund - Class C Wells Fargo Small Company Growth Fund - Class Inst Wells Fargo Small Company Growth Fund - Class Admin Wells Fargo Intrinsic Value Fund - Class A Wells Fargo Intrinsic Value Fund - Class B Wells Fargo Intrinsic Value Fund - Class C Wells Fargo Intrinsic Value Fund - Class Inst Wells Fargo Intrinsic Value Fund - Class Admin Wells Fargo Funds Wells Fargo Opportunity Fund - Class A 949915458 SOPVX 5.75 Wells Fargo Funds Wells Fargo Opportunity Fund - Class B 949921167 SOPBX Wells Fargo Funds Wells Fargo Opportunity Fund - Class C Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Redemption Fee Buy/Sell Eligible 949915144 WFEDX .00 1.43000 SELL ONLY 94975J359 WFSAX 5.75 .00 1.36000 SELL ONLY 5.00 .75 2.11000 SELL ONLY 1.00 .75 2.11000 SELL ONLY .00 1.03000 SELL ONLY .00 1.28000 SELL ONLY .00 1.17000 SELL ONLY 94975J342 WFSBX WSMC 94975J334 X WSCG 949921571 X 94975G447 NVSCX 94984B223 EIVAX 5.75 94984B215 EIVBX 5.00 .75 1.92000 SELL ONLY 94984B199 EIVCX 1.00 .75 1.92000 SELL ONLY 94984B181 EIVIX .00 0.84000 SELL ONLY 94975P538 EIVDX .00 1.09000 SELL ONLY .00 1.20000 SELL ONLY 5.00 .75 1.95000 SELL ONLY 1.00 .75 1.95000 SELL ONLY .00 0.87000 SELL ONLY .00 1.12000 SELL ONLY .00 1.06000 SELL ONLY .75 1.81000 SELL ONLY 949921787 WFOPX WOFN Wells Fargo Opportunity Fund - Class Inst 94975P595 X Wells Fargo Opportunity Fund - Class WOFD Admin 949915474 X Wells Fargo International Bond Fund Class A 94985D624 ESIYX 4.50 Wells Fargo International Bond Fund Class B 94985D616 ESIUX 5.00 Revised 19 Sept 2016 Page 61 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo International Bond Fund Class C Wells Fargo International Bond Fund Class Inst Wells Fargo International Bond Fund Class Admin Wells Fargo Conservative Income Fund Class Inst Wells Fargo Minnesota Tax-Free Fund Class A Wells Fargo Minnesota Tax-Free Fund Class C Wells Fargo Minnesota Tax-Free Fund Class Admin Wells Fargo Growth Balanced Fund Class A Wells Fargo Index Asset Allocation Fund Class A Wells Fargo Moderate Balanced Fund Class A Wells Fargo Strategic Municipal Bond Fund - Class A Wells Fargo Strategic Income Fund Class A Wells Fargo Alternative Strategies Fund Class A Wells Fargo Growth Balanced Fund Class B Wells Fargo Index Asset Allocation Fund Class B Wells Fargo Moderate Balanced Fund Class B Wells Fargo Strategic Municipal Bond Fund - Class B Wells Fargo Growth Balanced Fund Class C CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio 94985D590 ESIVX 1.00 Redemption Fee Buy/Sell Eligible .75 1.81000 SELL ONLY 94985D582 ESICX .00 0.73000 SELL ONLY 94975P850 ESIDX .00 1.00000 SELL ONLY 94987W562 WCIIX .00 0.38000 SELL ONLY 94975H593 NMTFX 4.50 WMTC 949917769 X .00 0.89000 SELL ONLY .75 1.64000 SELL ONLY 94975H577 NWMIX .00 0.83000 SELL ONLY 94975G397 WFGBX 5.75 .00 1.35000 SELL ONLY 94975H247 SFAAX 5.75 WFMA 94975J425 X 5.75 .00 1.20000 SELL ONLY .00 1.32000 BUY,SELL 94985D772 VMPAX 4.00 .00 0.81000 SELL ONLY 94988A502 WSIAX 4.00 .00 1.54000 SELL ONLY 94988A775 WALTX 5.75 .00 3.39000 SELL ONLY 1.00 94975G389 NVGRX 5.00 .75 2.10000 SELL ONLY 94975H239 SASBX WMOB 94975J417 X 5.00 .75 1.95000 SELL ONLY 5.00 .75 2.07000 SELL ONLY 94985D764 VMPIX WFGW 94975G371 X 5.00 .75 1.56000 SELL ONLY 1.00 .75 2.10000 SELL ONLY Revised 19 Sept 2016 Page 62 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo Index Asset Allocation Fund Class C Wells Fargo Moderate Balanced Fund Class C Wells Fargo Strategic Municipal Bond Fund - Class C Wells Fargo Strategic Income Fund Class C Wells Fargo Alternative Strategies Fund Class C Wells Fargo Strategic Municipal Bond Fund - Class Admin Wells Fargo Strategic Municipal Bond Fund - Class Inst Wells Fargo Alternative Strategies Fund Class inst Wells Fargo Strategic Income Fund Class Inst Wells Fargo Growth Balanced Fund Class Admin Wells Fargo Moderate Balanced Fund Class Admin Wells Fargo Index Asset Allocation Fund Class Admin Wells Fargo Strategic Income Fund Class Admin Wells Fargo Alternative Strategies Fund Class Admin Wells Fargo Short Duration Government Bond Fund - Class A Wells Fargo Short-Term Bond Fund Class A Wells Fargo Ultra Short-Term Income Fund - Class A Wells Fargo Short Duration Government Bond Fund - Class B CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 94975H221 WFALX 1.00 .75 1.95000 SELL ONLY 94975J391 WFBCX 1.00 .75 2.07000 BUY,SELL 94985D756 DHICX 1.00 .75 1.56000 SELL ONLY 94988A601 WSICX 1.00 .75 2.29000 SELL ONLY 94988A767 WACTX 1.00 .75 4.14000 SELL ONLY 94985D749 VMPYX .00 0.75000 SELL ONLY 94987W760 STRIX .00 0.48000 SELL ONLY 94988A783 WAITX .00 3.06000 SELL ONLY 94988A809 WSINX .00 1.21000 SELL ONLY 94975G363 NVGBX .00 1.27000 SELL ONLY 94975H106 NVMBX .00 1.24000 SELL ONLY 94975H213 WFAIX .00 1.12000 SELL ONLY 94988A700 WSIDX .00 1.48000 SELL ONLY 94988A791 WADTX .00 3.31000 SELL ONLY 94975J573 MSDAX 2.00 .00 0.78000 SELL ONLY 949917637 SSTVX 2.00 .00 0.81000 SELL ONLY 949917728 SADAX 2.00 .00 0.78000 SELL ONLY .75 1.53000 SELL ONLY 94975J565 MSDBX 3.00 Revised 19 Sept 2016 Page 63 of 68 Fund Family Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Fund Name Wells Fargo Short Duration Government Bond Fund - Class C Wells Fargo Ultra Short-Term Income Fund - Class C Wells Fargo Short-Term Bond Fund Class C Wells Fargo Short Duration Government Bond Fund - Class Inst Wells Fargo Short-Term Bond Fund Class Inst Wells Fargo Ultra Short-Term Income Fund - Class Inst Wells Fargo Short Duration Government Bond Fund - Class Admin Wells Fargo Ultra Short-Term Income Fund - Class Admin Wells Fargo Short-Term Municipal Bond Fund - Class A Wells Fargo Government Securities Fund - Class A Wells Fargo Municipal Bond Fund - Class A Wells Fargo Government Securities Fund - Class B Wells Fargo Municipal Bond Fund - Class B Wells Fargo Government Securities Fund - Class C Wells Fargo Municipal Bond Fund - Class C Wells Fargo Short-Term Municipal Bond Fund - Class C Wells Fargo Government Securities Fund - Class Inst Wells Fargo Short-Term Municipal Bond Fund - Class Inst CUSIP Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 94975J557 MSDCX 1.00 .75 1.53000 SELL ONLY 94984B710 WUSTX 1.00 .75 1.53000 SELL ONLY 949921639 WFSHX 1.00 .75 1.56000 SELL ONLY 949917595 WSGIX .00 0.45000 SELL ONLY 949917652 SSHIX .00 0.48000 SELL ONLY 949917744 SADIX .00 0.45000 SELL ONLY 94975J540 MNSGX WUSD 949917710 X WSMA 94984B751 X 2.00 .00 0.72000 SELL ONLY .00 0.72000 SELL ONLY .00 0.75000 BUY,SELL 949917553 SGVDX 4.50 WMFA 949917843 X 4.50 WGSB 94984B744 X WMFB 949917835 X WGSC 949917587 X WMFC 949917827 X .00 0.87000 SELL ONLY .00 0.80000 SELL ONLY 5.00 .75 1.62000 SELL ONLY 5.00 .75 1.55000 SELL ONLY 1.00 .75 1.62000 SELL ONLY 1.00 .75 1.55000 SELL ONLY 1.00 .75 1.50000 BUY,SELL 949917579 SGVIX .00 0.54000 SELL ONLY 949921654 WSBIX .00 0.42000 SELL ONLY 949917876 WSSCX Revised 19 Sept 2016 Page 64 of 68 Fund Family Fund Name CUSIP Wells Fargo Funds Wells Fargo Municipal Bond Fund - Class Inst Wells Fargo Short-Term Municipal Bond Fund - Class Admin Wells Fargo Government Securities Fund - Class Admin Wells Fargo Municipal Bond Fund - Class Admin 949921670 WMBIX WSTM 94975P819 X WGSD 949917546 X WMFD 949917793 X Wells Fargo Funds Wells Fargo Real Return Fund - Class A 94975J730 IPBAX Wells Fargo Funds Wells Fargo Real Return Fund - Class B 94975J722 IPBBX Wells Fargo Funds Wells Fargo Real Return Fund - Class C Wells Fargo Real Return Fund - Class Admin Wells Fargo Core Bond Fund - Class A Wells Fargo Core Bond Fund - Class B Wells Fargo Core Bond Fund - Class C 94975J714 IPBCX Wells Fargo Core Bond Fund - Class Inst Wells Fargo Core Bond Fund - Class Admin Wells Fargo Dow Jones Target 2015 Fund - Class A Wells Fargo Dow Jones Target 2015 Fund - Class Admin Wells Fargo Global Long/Short Fund Class A Wells Fargo Global Long/Short Fund Class C Wells Fargo Global Long/Short Fund Class Inst Wells Fargo Global Long/Short Fund Class Admin Wells Fargo WealthBuilder Growth Balanced Portfolio - Class WB Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible .00 0.47000 SELL ONLY .00 0.69000 SELL ONLY .00 0.81000 SELL ONLY .00 0.74000 SELL ONLY .00 1.45000 SELL ONLY 5.00 .75 2.20000 SELL ONLY 1.00 .75 2.20000 SELL ONLY 5.00 1.00 .00 .00 .75 .75 1.39000 0.85000 1.60000 1.60000 SELL ONLY SELL ONLY SELL ONLY SELL ONLY 94975J581 MBFIX .00 0.52000 SELL ONLY 94975J599 MNTRX .00 0.79000 SELL ONLY 94987W620 WFACX 5.75 .00 0.84000 SELL ONLY 94984B108 WFFFX .00 0.76000 SELL ONLY 94987W372 WGLAX 5.75 .00 5.38000 SELL ONLY .75 6.13000 SELL ONLY 94987W349 WGLSX .00 5.05000 SELL ONLY 94987W356 WGLDX WBGB 94975H205 X 1.50 .00 5.30000 SELL ONLY .75 2.17000 SELL ONLY 94975J698 94975J631 94975J623 94975J615 4.50 IPBIX MBFAX 4.50 MBFBX MBFCX 94987W364 WGLCX 1.00 Revised 19 Sept 2016 Page 65 of 68 Redemption Fee Buy/Sell Eligible Fund Family Fund Name CUSIP Wells Fargo Funds Wells Fargo WealthBuilder Moderate Balanced Portfolio - Class WB 94975J110 WBBBX 1.50 .75 2.11000 SELL ONLY 94975J136 WBCAX 1.50 949921522 WIPNX .75 2.04000 SELL ONLY 0.00 0.93000 SELL ONLY 94975P348 WLBDX 957904667 WTEIX 0.00 1.63000 1.17000 SELL ONLY SELL ONLY 957904493 WISVX 1.22000 SELL ONLY 957904535 WTSVX 1.39000 SELL ONLY 957904709 WTLTX 0.98000 2.00 SELL ONLY 957904477 WTMIX 1.67000 2.00 SELL ONLY 957904550 WTIFX 1.62000 957904469 WTSGX WTMC 957904584 X 4.96000 1.21000 SELL ONLY 957904204 WIMGX WTMG 957904717 X WTMV 957904881 X 957904576 WTSLX WTCO 957904782 X 0.98000 SELL ONLY 1.04000 SELL ONLY 1.18000 1.10000 SELL ONLY SELL ONLY 0.77000 SELL ONLY 957904485 WIIBX 957904675 WTIBX 0.55000 0.70000 SELL ONLY SELL ONLY Wells Fargo Funds Wells Fargo Funds Wells Fargo Funds Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Westcore Wells Fargo WealthBuilder Conservative Allocation Portfolio - Class WB Wells Fargo Advantage Income Plus Fund Investor Class Wells Fargo Advantage Emerging Markets Local Bond Fund Administrator Class Westcore Growth Fund Retail Class Westcore Small-Cap Value Dividend Fund Institutional Class Westcore Small-Cap Value Dividend Fund Retail Class Westcore Flexible Income Fund Retail Class Westcore Micro-Cap Opportunity Fund Retail Class Westcore International Small-Cap Fund Retail Class Westcore Small-Cap Growth Fund Retail Class Westcore Mid-Cap Value Dividend Fund Retail Class Westcore MIDCO Growth Institutional Class Westcore MIDCO Growth Fund Retail Class Westcore Global Large-Cap Dividend Fund Retail Class Westcore Select Fund Retail Class Westcore Colorado Tax-Exempt Fund Retail Class Westcore Plus Bond Fund Institutional Class Westcore Plus Bond Fund Retail Class Ticker Gross Front End 12b-1 Expense Load CDSC Fees Ratio SELL ONLY 2.00 SELL ONLY Revised 19 Sept 2016 Page 66 of 68 Fund Family Fund Name William Blair William Blair Small Cap Value Fund Class I William Blair Small Cap Value Fund Class N William Blair Emerging Markets Small Cap Growth Fund Class I William Blair Emerging Markets Small Cap Growth Fund Class N William Blair William Blair William Blair Low Duration Fund Class I William Blair Income Fund Class I William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair CUSIP Ticker 093001824 BVDIX Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 1.24000 SELL ONLY .25 1.54000 SELL ONLY 1.52000 SELL ONLY 969251818 WESNX .25 1.94000 SELL ONLY 969251602 WBLIX 093001683 BIFIX WBRR William Blair Income Fund Class N 093001204 X William Blair Small-Mid Cap Growth Fund WSMD Class I 093001295 X William Blair Small-Mid Cap Growth Fund WSMN Class N 093001345 X William Blair Small Cap Growth Fund Class I 093001485 WBSIX William Blair Small Cap Growth Fund Class N 093001477 WBSNX William Blair International Small Cap Growth Fund Class I 093001188 WISIX William Blair International Small Cap Growth Fund Class N 093001170 WISNX William Blair Growth Fund Class I 093001865 BGFIX WBGS William Blair Growth Fund Class N 093001105 X William Blair Large Cap Growth Fund Class N 093001535 LCGNX William Blair Mid Cap Growth Fund Class I 093001154 WCGIX William Blair Mid Cap Growth Fund Class WCGN N 093001147 X William Blair Macro Allocation Fund Institutional Class 969251750 WMCJX 0.59000 0.55000 SELL ONLY SELL ONLY .15 0.81000 SELL ONLY 1.15000 SELL ONLY .25 1.42000 SELL ONLY 1.30000 SELL ONLY .25 1.59000 SELL ONLY 1.31000 SELL ONLY .25 1.62000 0.89000 SELL ONLY SELL ONLY .25 1.19000 SELL ONLY .25 1.28000 SELL ONLY 1.14000 SELL ONLY .25 1.43000 SELL ONLY 1.04000 SELL ONLY 093001600 WBVDX 969251859 BESIX Revised 19 Sept 2016 Page 67 of 68 Fund Family William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair William Blair Fund Name William Blair Macro Allocation Fund Class I William Blair Macro Allocation Fund Class N William Blair Institutional International Growth Fund William Blair International Growth Fund Class I William Blair International Growth Fund Class N CUSIP Ticker 969251784 WMCIX WMCN 969251792 X Gross Front End 12b-1 Expense Load CDSC Fees Ratio Redemption Fee Buy/Sell Eligible 1.28000 SELL ONLY .25 1.56000 SELL ONLY 093001352 WBIIX 0.96000 SELL ONLY 093001774 BIGIX 1.14000 SELL ONLY 093001402 WBIGX .25 1.42000 SELL ONLY William Blair Mid Cap Value Fund Class I William Blair Mid Cap Value Fund Class N William Blair Emerging Markets Growth Fund Class I William Blair Emerging Markets Leaders Fund Class I William Blair Emerging Markets Leaders Fund Institutional Class William Blair Emerging Markets Fund Class N William Blair Emerging Markets Leaders Fund Class N 969251883 WMVIX WMVN 969251875 X 3.77000 SELL ONLY .25 4.14000 SELL ONLY 093001220 WBEIX 1.40000 SELL ONLY 969251404 WBELX 1.54000 SELL ONLY 969251503 WELIX 1.35000 SELL ONLY 093001212 WBENX .25 1.65000 SELL ONLY 969251867 WELNX .25 1.89000 SELL ONLY William Blair Global Leaders Fund Class I William Blair Global Leaders Fund Class N William Blair International Equity Fund Class N William Blair Bond Fund Class I 093001113 WGFIX WGGN 093001121 X 1.32000 SELL ONLY .25 1.61000 SELL ONLY 093001253 WIENX 969251107 WBFIX .25 1.60000 0.59000 SELL ONLY SELL ONLY .15 0.79000 SELL ONLY 1.84000 1.00 SELL ONLY William Blair Bond Fund Class N 969251206 WBBNX William Blair Tax-Managed Growth Fund 093001592 Institutional Class Revised 19 Sept 2016 Page 68 of 68
