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Date Issuer Insider Transaction Amount New Balance ⓘ
The balance of securities held by registered holder at the time of the transaction. Insiders may direct multiple registered holders and hold multiple security types.
Filed 2017-03-31
Tx date 2016-10-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		1,071
Filed 2017-03-31
Tx date 2016-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		1,132
Filed 2017-03-31
Tx date 2016-12-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$-9,900
-1,000 vol
$9.90 each 		1,127
Filed 2017-03-31
Tx date 2016-10-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		2,127
Filed 2017-03-31
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		2,122
Filed 2017-03-31
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		2,116
Filed 2017-03-31
Tx date 2016-07-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		2,111
Filed 2017-03-31
Tx date 2016-06-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		2,105
Filed 2017-03-31
Tx date 2016-05-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		2,099
Filed 2017-03-31
Tx date 2016-04-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		2,093
Filed 2017-03-31
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		2,087
Filed 2017-03-31
Tx date 2016-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		2,081
Filed 2017-03-31
Tx date 2016-02-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,674
+210 vol
$7.97 each 		2,077
Filed 2017-03-31
Tx date 2016-01-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		1,657
Filed 2017-03-31
Tx date 2015-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		1,653
Filed 2017-03-31
Tx date 2015-11-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		1,649
Filed 2017-03-31
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		1,645
Filed 2017-03-31
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$7,192
+800 vol
$8.99 each 		1,641
Filed 2017-03-31
Tx date 2015-05-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
11 - Acquisition or disposition carried out privately 		$410.00
+41 vol
$10.00 each 		41
Filed 2017-03-31
Tx date 2016-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		722
Filed 2017-03-31
Tx date 2016-10-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		719
Filed 2017-03-31
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		716
Filed 2017-03-31
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		713
Filed 2017-03-31
Tx date 2016-07-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		710
Filed 2017-03-31
Tx date 2016-06-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		707
Filed 2017-03-31
Tx date 2016-05-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		704
Filed 2017-03-31
Tx date 2016-04-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		701
Filed 2017-03-31
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		698
Filed 2017-03-31
Tx date 2016-03-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,028
+129 vol
$7.97 each 		695
Filed 2017-03-31
Tx date 2016-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		566
Filed 2017-03-31
Tx date 2016-01-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		530
Filed 2017-03-31
Tx date 2015-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+2 vol 		527
Filed 2017-03-31
Tx date 2015-11-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+2 vol 		525
Filed 2017-03-31
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+2 vol 		523
Filed 2017-03-31
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,495
+500 vol
$8.99 each 		521
Filed 2017-03-31
Tx date 2015-05-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
11 - Acquisition or disposition carried out privately 		$180.00
+18 vol
$10.00 each 		21
Filed 2017-03-31
Tx date 2015-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
35 - Stock dividend
+3 vol 		3
Filed 2017-03-31
Tx date 2016-11-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		1,076
Filed 2017-03-31
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		1,066
Filed 2017-03-31
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		1,061
Filed 2017-03-31
Tx date 2016-07-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		1,056
Filed 2017-03-31
Tx date 2016-06-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		1,050
Filed 2017-03-31
Tx date 2016-05-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		1,044
Filed 2017-03-31
Tx date 2016-05-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		1,038
Filed 2017-03-31
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+6 vol 		1,033
Filed 2017-03-31
Tx date 2016-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+5 vol 		1,027
Filed 2017-03-31
Tx date 2016-01-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		816
Filed 2017-03-31
Tx date 2015-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		812
Filed 2017-03-31
Tx date 2015-11-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		808
Filed 2017-03-31
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
35 - Stock dividend
+4 vol 		804
Filed 2017-03-31
Tx date 2016-11-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,157
Filed 2017-03-31
Tx date 2016-10-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,146
Filed 2017-03-31
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,135
Filed 2017-03-31
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,124
Filed 2017-03-31
Tx date 2016-07-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,113
Filed 2017-03-31
Tx date 2016-06-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+12 vol 		2,102
Filed 2017-03-31
Tx date 2016-05-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+12 vol 		2,090
Filed 2017-03-31
Tx date 2016-04-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,078
Filed 2017-03-31
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,067
Filed 2017-03-31
Tx date 2016-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+12 vol 		2,056
Filed 2017-03-31
Tx date 2016-01-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,044
Filed 2017-03-31
Tx date 2015-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,033
Filed 2017-03-31
Tx date 2015-11-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,022
Filed 2017-03-31
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Control or Direction)
Units
35 - Stock dividend
+11 vol 		2,011
Filed 2017-03-31
Tx date 2016-11-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		629
Filed 2017-03-31
Tx date 2016-10-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		626
Filed 2017-03-31
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		623
Filed 2017-03-31
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		620
Filed 2017-03-31
Tx date 2016-07-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		617
Filed 2017-03-31
Tx date 2016-06-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		614
Filed 2017-03-31
Tx date 2016-05-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		611
Filed 2017-03-31
Tx date 2016-04-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		608
Filed 2017-03-31
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+3 vol 		605
Filed 2017-03-31
Tx date 2016-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+2 vol 		602
Filed 2017-03-31
Tx date 2016-01-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+2 vol 		428
Filed 2017-03-31
Tx date 2015-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+2 vol 		426
Filed 2017-03-31
Tx date 2015-11-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+2 vol 		424
Filed 2017-03-31
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
35 - Stock dividend
+2 vol 		422
Filed 2017-03-31
Tx date 2015-05-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$200.00
+20 vol
$10.00 each 		20
Filed 2017-03-20
Tx date 2017-03-17 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-302,243.36
-29,200 vol
$10.35 each 		1,000
Filed 2017-03-20
Tx date 2016-08-04 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$27,729
+3,000 vol
$9.24 each 		237,600
Filed 2017-03-20
Tx date 2016-08-04 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$-27,729.90
-3,000 vol
$9.24 each
Filed 2017-03-16
Tx date 2017-03-15 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-49,920
-4,800 vol
$10.40 each 		24,200
Filed 2017-03-14
Tx date 2017-03-13 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-17,765
-1,700 vol
$10.45 each 		29,000
Filed 2017-03-09
Tx date 2017-03-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-12,540
-1,200 vol
$10.45 each 		30,700
Filed 2017-03-08
Tx date 2017-03-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-11,498.96
-1,100 vol
$10.45 each 		31,900
Filed 2017-03-03
Tx date 2017-03-02 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-12,600
-1,200 vol
$10.50 each 		33,000
Filed 2017-02-09
Tx date 2017-02-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-216,782
-21,400 vol
$10.13 each 		34,200
Filed 2017-02-08
Tx date 2017-02-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-201,487.50
-19,900 vol
$10.13 each 		55,600
Filed 2017-02-06
Tx date 2017-02-03 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-20,260
-2,000 vol
$10.13 each 		75,500
Filed 2017-01-11
Tx date 2017-01-10 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-45,675
-4,500 vol
$10.15 each 		77,500
Filed 2017-01-06
Tx date 2017-01-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-102,111
-10,100 vol
$10.11 each 		82,000
Filed 2016-12-29
Tx date 2016-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-39,800
-4,000 vol
$9.95 each 		92,100
Filed 2016-12-19
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+38 vol 		7,368
Filed 2016-12-19
Tx date 2016-12-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RRSP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$-8,910
-900 vol
$9.90 each 		34
Filed 2016-12-19
Tx date 2016-12-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$-69,300
-7,000 vol
$9.90 each 		444
Filed 2016-12-19
Tx date 2016-11-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+38 vol 		7,444
Filed 2016-12-19
Tx date 2016-11-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
-38 vol
Filed 2016-12-19
Tx date 2016-10-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+38 vol 		7,406
Filed 2016-12-19
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+30 vol
Filed 2016-12-19
Tx date 2016-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+39 vol 		7,089
Filed 2016-12-19
Tx date 2016-01-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+38 vol 		6,591
Filed 2016-12-19
Tx date 2015-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+37 vol 		6,553
Filed 2016-12-19
Tx date 2015-11-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+30 vol 		6,516
Filed 2016-12-19
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+8 vol 		5,486
Filed 2016-12-19
Tx date 2015-09-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$8,950
+1,000 vol
$8.95 each 		2,978
Filed 2016-12-19
Tx date 2015-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+2 vol 		478
Filed 2016-12-19
Tx date 2015-08-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+2 vol 		476
Filed 2016-12-19
Tx date 2015-05-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$4,740
+474 vol
$10.00 each 		474
Filed 2016-12-19
Tx date 2016-12-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$-24,750
-2,500 vol
$9.90 each 		147
Filed 2016-12-19
Tx date 2016-11-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+13 vol 		2,647
Filed 2016-12-19
Tx date 2016-10-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+13 vol 		2,634
Filed 2016-12-19
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+13 vol 		2,621
Filed 2016-12-19
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+13 vol 		2,608
Filed 2016-12-19
Tx date 2016-07-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+14 vol 		2,595
Filed 2016-12-19
Tx date 2016-06-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+15 vol 		2,581
Filed 2016-12-19
Tx date 2016-05-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+15 vol 		2,566
Filed 2016-12-19
Tx date 2016-04-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+14 vol 		2,551
Filed 2016-12-19
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+14 vol 		2,537
Filed 2016-12-19
Tx date 2016-02-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+9 vol 		2,523
Filed 2016-12-19
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$7,830
+982 vol
$7.97 each 		2,514
Filed 2016-12-19
Tx date 2016-01-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+8 vol 		1,532
Filed 2016-12-19
Tx date 2015-12-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+8 vol 		1,524
Filed 2016-12-19
Tx date 2015-11-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+8 vol 		1,516
Filed 2016-12-19
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
35 - Stock dividend
+8 vol 		1,508
Filed 2016-12-19
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$7,830
+982 vol
$7.97 each
Filed 2016-12-19
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+38 vol 		7,330
Filed 2016-12-19
Tx date 2016-07-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+40 vol 		7,292
Filed 2016-12-19
Tx date 2016-06-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+42 vol 		7,252
Filed 2016-12-19
Tx date 2016-05-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+42 vol 		7,210
Filed 2016-12-19
Tx date 2016-04-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+39 vol 		7,168
Filed 2016-12-19
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
35 - Stock dividend
+40 vol 		7,129
Filed 2016-12-15
Tx date 2016-12-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$-19,802
-2,000 vol
$9.90 each 		0
Filed 2016-12-13
Tx date 2016-12-12 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-34,650
-3,500 vol
$9.90 each 		96,100
Filed 2016-12-13
Tx date 2016-12-02 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$5,766
+600 vol
$9.61 each 		337,200
Filed 2016-12-07
Tx date 2016-12-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-461,720
-47,600 vol
$9.70 each 		99,000
Filed 2016-12-06
Tx date 2016-12-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$-1,843,000
-190,000 vol
$9.70 each 		146,600
Filed 2016-12-02
Tx date 2016-12-01 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$363,600
+37,500 vol
$9.70 each 		336,600
Filed 2016-11-28
Tx date 2016-11-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$10,556
+1,100 vol
$9.60 each 		299,100
Filed 2016-10-21
Tx date 2016-10-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase
-2,564 vol
Filed 2016-10-21
Tx date 2016-10-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase
-2,564 vol
Filed 2016-10-21
Tx date 2016-10-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$24,462
+2,564 vol
$9.54 each
Filed 2016-10-21
Tx date 2016-10-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$24,462
+2,564 vol
$9.54 each
Filed 2016-10-21
Tx date 2016-10-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$24,462
+2,564 vol
$9.54 each
Filed 2016-10-21
Tx date 2016-10-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase
-2,564 vol
Filed 2016-10-04
Tx date 2016-10-03 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$193,880
+20,000 vol
$9.69 each 		298,000
Filed 2016-10-03
Tx date 2016-09-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$149,113
+15,700 vol
$9.50 each 		278,000
Filed 2016-09-30
Tx date 2016-09-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$18,940
+2,000 vol
$9.47 each 		262,300
Filed 2016-09-29
Tx date 2016-09-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$4,726
+500 vol
$9.45 each 		260,300
Filed 2016-09-28
Tx date 2016-09-27 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$3,788
+400 vol
$9.47 each 		259,800
Filed 2016-09-27
Tx date 2016-09-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$3,802
+400 vol
$9.51 each 		259,400
Filed 2016-09-26
Tx date 2016-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$4,749
+500 vol
$9.50 each 		259,000
Filed 2016-09-23
Tx date 2016-09-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$7,576
+800 vol
$9.47 each 		258,500
Filed 2016-09-22
Tx date 2016-09-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$9,440
+1,000 vol
$9.44 each 		257,700
Filed 2016-09-13
Tx date 2016-09-12 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$18,902
+2,000 vol
$9.45 each 		256,700
Filed 2016-09-09
Tx date 2016-09-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$9,550
+1,000 vol
$9.55 each 		254,700
Filed 2016-09-08
Tx date 2016-09-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$23,798
+2,500 vol
$9.52 each 		253,700
Filed 2016-09-07
Tx date 2016-09-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$9,542
+1,000 vol
$9.54 each 		251,200
Filed 2016-09-06
Tx date 2016-09-02 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$9,539
+1,000 vol
$9.54 each 		250,200
Filed 2016-09-01
Tx date 2016-08-31 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$19,200
+2,000 vol
$9.60 each 		249,200
Filed 2016-08-31
Tx date 2016-08-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$9,500
+1,000 vol
$9.50 each 		247,200
Filed 2016-08-30
Tx date 2016-08-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$28,795
+3,000 vol
$9.60 each 		246,200
Filed 2016-08-29
Tx date 2016-08-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$10,435
+1,100 vol
$9.49 each 		243,200
Filed 2016-08-29
Tx date 2016-08-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$18,947
+2,000 vol
$9.47 each 		242,100
Filed 2016-08-23
Tx date 2016-08-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$18,860
+2,000 vol
$9.43 each 		240,100
Filed 2016-08-16
Tx date 2016-08-15 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$18,829
+2,000 vol
$9.41 each 		238,100
Filed 2016-08-12
Tx date 2016-08-11 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$32,961
+3,500 vol
$9.42 each 		236,100
Filed 2016-08-08
Tx date 2016-08-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$9,270
+1,000 vol
$9.27 each 		232,600
Filed 2016-08-05
Tx date 2016-08-04 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$-27,729.90
-3,000 vol
$9.24 each 		231,600
Filed 2016-07-05
Tx date 2016-07-04 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$25,788
+3,000 vol
$8.60 each 		234,600
Filed 2016-06-23
Tx date 2016-06-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$20,390
+2,400 vol
$8.50 each 		231,600
Filed 2016-06-21
Tx date 2016-06-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$33,670
+4,000 vol
$8.42 each 		229,200
Filed 2016-06-09
Tx date 2016-06-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,800
+2,000 vol
$8.40 each 		225,200
Filed 2016-06-06
Tx date 2016-06-03 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,700
+2,000 vol
$8.35 each 		223,200
Filed 2016-06-02
Tx date 2016-06-01 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,920
+2,000 vol
$8.46 each 		221,200
Filed 2016-05-31
Tx date 2016-05-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$25,640
+3,000 vol
$8.55 each 		219,200
Filed 2016-05-30
Tx date 2016-05-27 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,840
+2,000 vol
$8.42 each 		216,200
Filed 2016-05-26
Tx date 2016-05-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,780
+2,000 vol
$8.39 each 		214,200
Filed 2016-05-24
Tx date 2016-05-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,700
+2,000 vol
$8.35 each 		212,200
Filed 2016-05-19
Tx date 2016-05-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,720
+2,000 vol
$8.36 each 		210,200
Filed 2016-05-17
Tx date 2016-05-16 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,722
+2,000 vol
$8.36 each 		208,200
Filed 2016-05-11
Tx date 2016-05-10 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,840
+2,000 vol
$8.42 each 		206,200
Filed 2016-05-09
Tx date 2016-05-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,480
+1,000 vol
$8.48 each 		204,200
Filed 2016-05-06
Tx date 2016-05-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,780
+2,000 vol
$8.39 each 		203,200
Filed 2016-05-04
Tx date 2016-05-03 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$28,829
+3,400 vol
$8.48 each 		201,200
Filed 2016-05-03
Tx date 2016-05-02 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$29,683
+3,500 vol
$8.48 each 		197,800
Filed 2016-04-29
Tx date 2016-04-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,370
+2,000 vol
$8.69 each 		194,300
Filed 2016-04-28
Tx date 2016-04-27 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$34,920
+4,000 vol
$8.73 each 		192,300
Filed 2016-04-27
Tx date 2016-04-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,500
+2,000 vol
$8.75 each 		188,300
Filed 2016-04-21
Tx date 2016-04-20 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,620
+2,000 vol
$8.81 each 		186,300
Filed 2016-04-20
Tx date 2016-04-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,880
+2,000 vol
$8.94 each 		184,300
Filed 2016-04-15
Tx date 2016-04-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,740
+2,000 vol
$8.87 each 		182,300
Filed 2016-04-13
Tx date 2016-04-12 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,580
+2,000 vol
$8.79 each 		180,300
Filed 2016-04-12
Tx date 2016-04-11 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,640
+2,000 vol
$8.82 each 		178,300
Filed 2016-04-11
Tx date 2016-04-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,710
+2,000 vol
$8.86 each 		176,300
Filed 2016-04-08
Tx date 2016-04-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,755
+2,000 vol
$8.88 each 		174,300
Filed 2016-04-04
Tx date 2016-04-01 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$26,360
+3,000 vol
$8.79 each 		172,300
Filed 2016-03-24
Tx date 2016-03-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$15,924
+1,800 vol
$8.85 each 		169,300
Filed 2016-03-23
Tx date 2016-03-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,645
+2,000 vol
$8.82 each 		167,500
Filed 2016-03-22
Tx date 2016-03-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,570
+2,000 vol
$8.79 each 		165,500
Filed 2016-03-21
Tx date 2016-03-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,525
+2,000 vol
$8.76 each 		163,500
Filed 2016-03-18
Tx date 2016-03-17 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,366
+2,000 vol
$8.68 each 		161,500
Filed 2016-03-17
Tx date 2016-03-16 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,431
+2,000 vol
$8.72 each 		159,500
Filed 2016-03-16
Tx date 2016-03-15 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,270
+2,000 vol
$8.63 each 		157,500
Filed 2016-03-15
Tx date 2016-03-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$25,859
+3,000 vol
$8.62 each 		155,500
Filed 2016-03-14
Tx date 2016-03-11 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$22,274
+2,600 vol
$8.57 each 		152,500
Filed 2016-03-11
Tx date 2016-03-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,800
+2,000 vol
$8.40 each 		145,900
Filed 2016-03-11
Tx date 2016-03-10 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,100
+2,000 vol
$8.55 each 		149,900
Filed 2016-03-10
Tx date 2016-03-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,800
+2,000 vol
$8.40 each 		145,900
Filed 2016-03-04
Tx date 2016-03-04 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$15,030
+1,800 vol
$8.35 each 		143,900
Filed 2016-03-02
Tx date 2016-03-01 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,598
+2,000 vol
$8.30 each 		140,100
Filed 2016-02-29
Tx date 2016-02-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,325
+2,000 vol
$8.16 each 		138,100
Filed 2016-02-22
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RRSP (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,371
+172 vol
$7.97 each 		572
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$3,659
+459 vol
$7.97 each 		5,459
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,674
+210 vol
$7.97 each 		1,010
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell TFSA (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,180
+148 vol
$7.97 each 		148
Filed 2016-02-22
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell TFSA (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$7,830
+982 vol
$7.97 each 		982
Filed 2016-02-22
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$263.14
+33 vol
$7.97 each 		33
Filed 2016-02-22
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell TFSA (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,028
+129 vol
$7.97 each 		629
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,642
+206 vol
$7.97 each 		1,006
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell TFSA (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$1,315
+165 vol
$7.97 each 		165
Filed 2016-02-22
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell TFSA (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2016-02-22
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RRSP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$7,447
+934 vol
$7.97 each 		934
Filed 2016-02-17
Tx date 2016-02-16 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$15,200
+1,900 vol
$8.00 each 		136,100
Filed 2016-02-16
Tx date 2016-02-12 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$15,780
+2,000 vol
$7.89 each 		134,200
Filed 2016-02-10
Tx date 2016-02-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$15,867
+2,000 vol
$7.93 each 		132,200
Filed 2016-02-09
Tx date 2016-02-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,100
+2,000 vol
$8.05 each 		130,200
Filed 2016-02-04
Tx date 2016-02-03 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$15,976
+2,000 vol
$7.99 each 		126,200
Filed 2016-02-04
Tx date 2016-02-03 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$15,972
+2,000 vol
$7.99 each 		128,200
Filed 2016-02-01
Tx date 2016-01-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,435
+2,000 vol
$8.22 each 		124,200
Filed 2016-01-29
Tx date 2016-01-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,262
+2,000 vol
$8.13 each 		122,200
Filed 2016-01-25
Tx date 2016-01-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,497
+2,000 vol
$8.25 each 		120,200
Filed 2016-01-21
Tx date 2016-01-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,996
+2,000 vol
$8.50 each 		118,200
Filed 2016-01-14
Tx date 2016-01-13 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,670
+1,000 vol
$8.67 each 		116,200
Filed 2016-01-13
Tx date 2016-01-12 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,260
+2,000 vol
$8.63 each 		115,200
Filed 2016-01-12
Tx date 2016-01-11 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,540
+1,000 vol
$8.54 each 		113,200
Filed 2016-01-11
Tx date 2016-01-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,340
+2,000 vol
$8.67 each 		112,200
Filed 2016-01-08
Tx date 2016-01-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,215
+2,000 vol
$8.61 each 		110,200
Filed 2016-01-07
Tx date 2016-01-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,750
+1,000 vol
$8.75 each 		108,200
Filed 2016-01-07
Tx date 2016-01-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,790
+1,000 vol
$8.79 each 		107,200
Filed 2015-12-03
Tx date 2015-11-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$220,353
+24,700 vol
$8.92 each
Filed 2015-12-03
Tx date 2015-11-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$217,677
+24,400 vol
$8.92 each 		106,200
Filed 2015-12-01
Tx date 2015-11-27 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$88,250
+10,100 vol
$8.74 each 		81,800
Filed 2015-12-01
Tx date 2015-11-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$220,353
+24,700 vol
$8.92 each 		106,500
Filed 2015-11-30
Tx date 2015-11-27 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,380
+2,000 vol
$8.69 each 		71,700
Filed 2015-11-27
Tx date 2015-11-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,400
+2,000 vol
$8.70 each 		69,700
Filed 2015-11-27
Tx date 2015-11-26 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,440
+2,000 vol
$8.72 each 		67,700
Filed 2015-11-25
Tx date 2015-11-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,760
+2,000 vol
$8.88 each 		65,700
Filed 2015-11-25
Tx date 2015-11-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,709
+2,000 vol
$8.85 each 		63,700
Filed 2015-11-19
Tx date 2015-11-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,857
+2,000 vol
$8.93 each 		61,700
Filed 2015-11-18
Tx date 2015-11-17 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,900
+2,000 vol
$8.95 each 		59,700
Filed 2015-11-05
Tx date 2015-11-04 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,900
+2,000 vol
$8.95 each 		57,700
Filed 2015-11-04
Tx date 2015-11-03 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,950
+1,000 vol
$8.95 each 		55,700
Filed 2015-11-03
Tx date 2015-10-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,445
+500 vol
$8.89 each 		2,500
Filed 2015-11-03
Tx date 2015-10-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$4,565
+500 vol
$9.13 each
Filed 2015-11-03
Tx date 2015-10-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$4,445
+500 vol
$8.89 each
Filed 2015-11-03
Tx date 2015-10-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$4,440
+500 vol
$8.88 each
Filed 2015-11-03
Tx date 2015-11-02 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$8,940
+1,000 vol
$8.94 each 		5,000
Filed 2015-11-03
Tx date 2015-10-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,565
+500 vol
$9.13 each 		3,000
Filed 2015-11-03
Tx date 2015-10-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,440
+500 vol
$8.88 each 		2,000
Filed 2015-10-30
Tx date 2015-10-29 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,793
+2,000 vol
$8.90 each 		54,700
Filed 2015-10-29
Tx date 2015-10-28 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,778
+2,000 vol
$8.89 each 		52,700
Filed 2015-10-28
Tx date 2015-10-27 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,900
+2,000 vol
$8.95 each 		50,700
Filed 2015-10-26
Tx date 2015-10-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,890
+2,000 vol
$8.95 each 		48,700
Filed 2015-10-23
Tx date 2015-10-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,780
+2,000 vol
$8.89 each 		46,700
Filed 2015-10-23
Tx date 2015-10-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,490
+500 vol
$8.98 each 		4,000
Filed 2015-10-19
Tx date 2015-10-15 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,600
+500 vol
$9.20 each 		3,500
Filed 2015-10-10
Tx date 2015-10-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$4,445
+500 vol
$8.89 each 		2,500
Filed 2015-10-10
Tx date 2015-10-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$4,565
+500 vol
$9.13 each 		3,000
Filed 2015-10-10
Tx date 2015-10-06 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$4,440
+500 vol
$8.88 each 		2,000
Filed 2015-10-08
Tx date 2015-10-07 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$4,407
+500 vol
$8.81 each 		44,700
Filed 2015-10-06
Tx date 2015-10-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$16,706
+1,900 vol
$8.79 each 		44,200
Filed 2015-09-30
Tx date 2015-09-30 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,475
+500 vol
$8.95 each 		1,500
Filed 2015-09-29
Tx date 2015-09-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$35,902
+4,000 vol
$8.98 each 		42,300
Filed 2015-09-25
Tx date 2015-09-25 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$9,100
+1,000 vol
$9.10 each 		1,000
Filed 2015-09-25
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell RESP (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-09-25
Tx date 2015-09-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,887
+2,000 vol
$8.94 each 		38,300
Filed 2015-09-24
Tx date 2015-09-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$97,914
+11,000 vol
$8.90 each 		36,300
Filed 2015-09-22
Tx date 2015-09-21 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,595
+2,000 vol
$8.80 each 		25,300
Filed 2015-09-21
Tx date 2015-09-18 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,666
+2,000 vol
$8.83 each 		23,300
Filed 2015-09-18
Tx date 2015-09-17 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,860
+2,000 vol
$8.93 each 		21,300
Filed 2015-09-17
Tx date 2015-09-16 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,927
+2,000 vol
$8.96 each 		19,300
Filed 2015-09-15
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,980
+2,000 vol
$8.99 each 		17,300
Filed 2015-09-14
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-09-14
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,495
+500 vol
$8.99 each 		500
Filed 2015-09-14
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$4,500
+500 vol
$9.00 each
Filed 2015-09-14
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Riley Caldwell (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-09-14
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$7,192
+800 vol
$8.99 each 		800
Filed 2015-09-14
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Faith Caldwell (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-09-14
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$3,596
+400 vol
$8.99 each 		400
Filed 2015-09-14
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Ben Caldwell (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-09-14
Tx date 2015-09-11 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Indirect Ownership)
Units
10 - Acquisition or disposition in the public market 		$17,952
+2,000 vol
$8.98 each 		2,000
Filed 2015-09-14
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Brendan Caldwell Trust #1 (Indirect Ownership)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-09-14
Tx date 2015-09-14 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$7,192
+800 vol
$8.99 each 		800
Filed 2015-09-14
Tx date 2015-06-19 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Trinity Caldwell (Control or Direction)
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-09-14
Tx date 2015-09-11 		$UDA
Caldwell U.S. Dividend Advantage Fund 		CALDWELL, BRENDAN T.N.
7 - Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6)
Holder: Sandra Caldwell RRSP (Control or Direction)
Units
10 - Acquisition or disposition in the public market 		$13,461
+1,500 vol
$8.97 each 		1,500
Filed 2015-09-11
Tx date 2015-09-10 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$35,710
+4,000 vol
$8.93 each 		15,300
Filed 2015-09-10
Tx date 2015-09-09 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,990
+1,000 vol
$8.99 each 		11,300
Filed 2015-09-09
Tx date 2015-09-08 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,900
+1,000 vol
$8.90 each 		10,300
Filed 2015-09-03
Tx date 2015-08-31 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$43,812
+4,800 vol
$9.13 each 		8,300
Filed 2015-09-03
Tx date 2015-09-01 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$8,999
+1,000 vol
$9.00 each 		9,300
Filed 2015-09-03
Tx date 2015-08-31 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$4,550
+500 vol
$9.10 each 		3,500
Filed 2015-08-25
Tx date 2015-08-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$9,450
+1,000 vol
$9.45 each 		1,000
Filed 2015-08-25
Tx date 2015-08-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$17,500
+2,000 vol
$8.75 each 		3,000
Filed 2015-08-25
Tx date 2015-08-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$9,450
+1,000 vol
$9.45 each
Filed 2015-08-17
Tx date 2015-08-13 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase
-5,000 vol 		1,000
Filed 2015-08-17
Tx date 2015-08-13 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$47,650
+5,000 vol
$9.53 each 		6,000
Filed 2015-08-07
Tx date 2015-07-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase
-3,800 vol 		0
Filed 2015-08-07
Tx date 2015-08-05 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
10 - Acquisition or disposition in the public market 		$9,450
+1,000 vol
$9.45 each 		1,000
Filed 2015-08-07
Tx date 2015-07-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase
-5,000 vol 		0
Filed 2015-08-07
Tx date 2015-07-24 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$48,800
+5,000 vol
$9.76 each 		5,000
Filed 2015-08-07
Tx date 2015-07-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase
-10,000 vol 		0
Filed 2015-08-07
Tx date 2015-07-23 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$97,800
+10,000 vol
$9.78 each 		10,000
Filed 2015-08-07
Tx date 2015-07-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
00 - Opening Balance-Initial SEDI Report
Filed 2015-08-07
Tx date 2015-07-22 		$UDA
Caldwell U.S. Dividend Advantage Fund 		Caldwell US Dividend Advantage Fund
1 - Issuer
Direct Ownership
Units
38 - Redemption, retraction, cancellation, repurchase 		$36,290
+3,800 vol
$9.55 each 		3,800