This report is due to the Compliance Department no later than 30 calendar days after the quarter-end. |
SEC Rule 204A-1E(1) requires that each access person report, within 30 days of the end of each calendar quarter, any personal securities transactions in any account of the access person, or any account in which the access person or any immediate family or household member, has a direct or indirect pecuniary interest. |
Excluded from this reporting rule are transactions in the following: Direct obligations of the Government of the United States; Money market instruments; Shares of money market funds; Shares of open ended mutual funds; Units of a unit investment trust if the UIT is invested exclusively in unaffiliated mutual funds. NOTE: Shares in exchange traded funds, options and stock awards are NOT EXCLUDED. |
Due to the nature of the following types of programs, the following are also excluded from this reporting rule: Transactions over which you have no direct or indirect influence or control; Dividend reinvestment programs; Transactions in account managed by a third party and invested without the direction or participation of the employee; and Investments in an account managed/custodied through Trustmont. |
Rep Name: | |
Name on Account: | |
Account Custodian: | |
Rep Email Address: | |
What quarter is represented by this report? (select one) | 1st Quarter
2nd Quarter
3rd Quarter
4th Quarter |
Do you have any reportable transactions in this account for the quarter chosen above? (If yes, attach list of transactions below) | Yes
No |
Please upload your quarterly statement(s) here. If the file is not already saved to your device in electronic format, you must scan the documents and save to a file for uploading. | |
Additional file to upload or list of transactions | |
By signing below, you attest that confirms and statements are being provided to Trustmont Compliance for all reportable outside personal securities accounts and transactions either directly by the custodian and/or by uploading to this report. Enter your name below as your electronic signature: | |
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