LPX Direct US Rebalancing October 12, 2023

LPX Direct US

Index Inclusions
• n/a

Index Exclusions:
• n/a

Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Wednesday, October 11th, 2023
Date of chaining (based on closing prices):
• Thursday, October 12th, 2023
Effective Date:
• Friday, October 13th, 2023

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LPX Composite Rebalancing October 12, 2023

LPX Composite Index
Index Inclusions:
• n/a
Index Exclusions:
• n/a

Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Thursday, Ocotber 5th, 2023
Date of chaining (based on closing prices):
• Thursday, October 12th, 2023
Effective Date:
• Friday, Ocotber 13th, 2023

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LPX Composite Extraordinary Reblancing

Index Constituent:
• AURELIUS EQUITY OPPORTUNITIES SE & CO KGAA (AR4 GM Equity)

Index Action:
Reduction in shares outstanding of AR4 GM with the following schedule:

Current shares outstanding in the index: 17’861’964

New shares in the index (Effective) Friday August 25, 2023: 11’907’976

New shares in the index (Effective) Friday September 01, 2023: 5’953’988

New shares in the index (Effective) Friday September 08, 2023: 0

LPX Composite Index Extraordinary Rebalancing

Index Constituent:
• AURELIUS EQUITY OPPORTUNITIES SE & CO KGAA (AR4 GM Equity)

Index Action:
Reduction in shares outstanding in the index: -20%.

Effective Date: Friday August 04, 2023

NMX Rebalancing Announcement July 13, 2023

NMX Index Series ordinary Rebalancing (Chaining) as of July 13, 2023
(based on closing prices)

1. Changes to NMX Index Series:

NMX Composite
Inclusions:
• China Tower (H) (788 HK Equity)
• Companhia de Saneamento do Parana Sanepar (SAPR11 BS Equity)
• Canadian Pacific Railway (CP CT Equity)
• Keyera Corp (KEY CT Equity)

Exclusions:
• SES FDR (SESG FP Equity)
• Manila Water (MWC PM Equity)
• East Japan Railway (9020 JT Equity)
• Toho Gas (9533 JT Equity)

NMX30 Infrastructure Global
Inclusions:
• China Tower (H) (788 HK Equity)
Exclusions:
• EAST JAPAN RAILWAY CO (9020 JT Equity)

NMX30 USD Infrastructure Global
Inclusions:
• China Tower (H) (788 HK Equity)
Exclusions:
• EAST JAPAN RAILWAY CO (9020 JT Equity)

NMX Europe
Inclusions:
• n/a
Exclusions:
• n/a

NMX Asia
Inclusions:
• China Tower (H) (788 HK Equity)
• Japan Airport Terminal (9706 JT Equity)
Exclusions
• MANILA WATER COMPANY (MWC PM Equity)
• TOHO GAS CO LTD (9533 JT Equity)

NMX America
Inclusions:
• IRIDIUM COMMUNICATIONS INC (IRDM UW Equity)
Exclusions:
• GMEXICO TRANSPORTES SAB DE CV (GMXT* MF Equity)

2. Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Thursday, July 6th, 2023
Date of chaining (based on closing prices):
• Thursday, July 13th, 2023
Effective Date:
• Friday, July 14th, 2023

 

DLX Rebalancing Annoucement July 13, 2023

DLX Index

Index Inclusions:
• n/a
Index Exclusions:
• GLADSTONE CAPITAL CORP (GLAD UW Equity)
• SARATOGA INVESTMENT CORP (SAR UN Equity)
• BLACKROCK CAPITAL INVESTMENT (BKCC UW Equity)
• APOLLO SENIOR FLOATING RATE (AFT UN Equity)
• WHITEHORSE FINANCE INC (WHF UW Equity)

Announcement Dates
• Thursday, July 6th, 2023
Date of chaining (based on closing prices):
• Thursday, July 13th, 2023

LPX Rabalancing Announcement July 13, 2023

LPX Composite Index
Index Inclusions:
• Horizon Technology Finance Corporation (HRZN UW Equity)
Index Exclusions:
• n/a

LPX50 Index
Index Inclusions:
• NB PRIVATE EQUITY PARTNERS LIMITED CLASS A (NBPE LN Equity)
Index Exclusions:
• AURELIUS EQUITY OPPORTUNITIES SE & CO KGAA (AR4 GM Equity)

LPX Major Market Index
Index Inclusions:
• ARES MANAGEMENT CORP (ARES UN Equity)
Index Exclusions:
• CARLYLE GROUP INC/THE (CG UW Equity)

LPX Direct
Index Inclusions:
• NB PRIVATE EQUITY PARTNERS LIMITED CLASS A (NBPE LN Equity)
• CAPITAL SOUTHWEST CORP (CSWC UW Equity)

Index Exclusions :
• MOLTEN VENTURES PLC (GROW LN Equity)
• AURELIUS EQUITY OPPORTUNITIES SE & CO KGAA (AR4 GM Equity)

LPX Buyout
Index Inclusions:
• NB PRIVATE EQUITY PARTNERS LIMITED CLASS A (NBPE LN Equity)
Index Exclusions :
• AURELIUS EQUITY OPPORTUNITIES SE & CO KGAA (AR4 GM Equity)

LPX Mezzanine
Index Inclusions:
• HORIZON TECHNOLOGY FINANCE C (HRZN UW Equity)
• RUNWAY GROWTH FINANCE CORP (RWAY UW Equity)
Index Exclusions :
• PHENIXFIN CORP (PFX UQ Equity)
• MONROE CAPITAL CORP (MRCC UW Equity)

LPX Venture
Index Inclusions:
• n/a
Index Exclusions :
• n/a

LPX Indirect
Index Inclusions:
• n/a
Index Exclusions :
• n/a

LPX Europe
Index Inclusions:
• AUGMENTUM FINTECH PLC (AUGM LN Equity)
• VNV GLOBAL AB (VNV SS Equity)

Index Exclusions:
• AURELIUS EQUITY OPPORTUNITIES SE & CO KGAA (AR4 GM Equity)

LPX America
Index Inclusions:
• TPG INC (TPG UW Equity)
Index Exclusions:
• OWL ROCK CAPITAL CORP (ORCC UN Equity)

LPX UK
Index Inclusions:
• n/a
Index Exclusions:
• n/a

 

Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Thursday, July 6th, 2023
Date of chaining (based on closing prices):
• Thursday, July 13th, 2023
Effective Date:
• Friday, July 14th, 2023

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LPX Direct US*

Index Inclusions
• BARINGS BDC INC (BBDC UN Equity)

Index Exclusions:
• MOLTEN VENTURES PLC (GROW LN Equity)

*Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Wednesday, July 12th, 2023
Date of chaining (based on closing prices):
• Thursday, July 13th, 2023
Effective Date:
• Friday, July 14th, 2023

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LPX Rebalancing Announcement July 14, 2023

LPX Composite

Index Inclusions:
• Horizon Technology Finance Corporation (HRZN UW Equity)
Index Exclusions:
• n/a

Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Thursday, July 06th, 2023
Date of chaining (based on closing prices):
• Thursday, July 13th, 2023
Effective Date:
• Friday, July 14th, 2023

Rebalancing Announcement April 13, 2023

LPX Composite Rebalancing (Chaining) as of April 13, 2023
(based on closing prices)

1.Index Mutations

Index Inclusions:
• n/a
Index Exclusions:
• n/a

Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Thursday, April 6th, 2023
Date of chaining (based on closing prices):
• Thursday, April 13th, 2023
Effective Date:
• Friday, April 14th, 2023

—————————-

LPX Direct US Rebalancing (Chaining) as of April 13, 2023
(closing prices)

1.Index Mutations
Index Inclusions
• NB Private Equity Partners (NBPE LN)

Index Exclusions:
• Chrysalis Investments Ltd. (CHRY LN)

Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Wednesday, April 12th, 2023
Date of chaining (based on closing prices):
• Thursday, April 13th, 2023
Effective Date
• Friday, April 14th, 2023

LPX Rebalancing Announcement January 12, 2023

LPX Composite Index
Index Inclusions:
• Runway Growth Finance Corporation (RWAY UW Equity)
Index Exclusions:
• n/a

LPX50 Index
Index Inclusions:
• COMPASS DIVERSIFIED HOLDINGS (CODI UN Equity)
Index Exclusions:
• PENNANTPARK INVESTMENT CORP (PNNT UN Equity)

LPX Major Market Index
Index Inclusions:
• n/a
Index Exclusions:
• n/a

LPX Direct
Index Inclusions:
• n/a
Index Exclusions :
• n/a

LPX Buyout
Index Inclusions:
• n/a
Index Exclusions :
• n/a

LPX Mezzanine
Index Inclusions:
• FS KKR Capital Corp (FSK UN Equity)
• New Mountain Finance Corp (NMFC UW Equity)
• Barings BDC Inc (BBDC UN Equity)
Index Exclusions :
• Golub Capital BDC Inc (GBDC UW Equity)
• Midcap Financial Investment Corp (MFIC UW Equity)
• Horizon Technology Finance Corp (HRZN UW Equity)

LPX Venture
Index Inclusions:
• RUNWAY GROWTH FINANCE CORP (RWAY UW Equity)
Index Exclusions :
• n/a

LPX Indirect
Index Inclusions:
• n/a
Index Exclusions :
• n/a

LPX Europe
Index Inclusions:
• n/a
Index Exclusions:
• n/a

LPX America
Index Inclusions:
• RUNWAY GROWTH FINANCE CORP (RWAY UW Equity)
Index Exclusions:
• PENNANTPARK INVESTMENT CORP (PNNT UN Equity)

LPX UK
Index Inclusions:
• n/a
Index Exclusions:
• DUNEDIN ENTERPRISE-ORD (DNE LN Equity)
• JPEL PRIVATE EQUITY LTD (JPEL LN Equity)

Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Thursday, January 5th, 2023
Date of chaining (based on closing prices):
• Thursday, January 12th, 2023
Effective Date:
• Friday, January 13th, 2023

——————————————-

LPX Direct US*
Index Inclusions:
• n/a
Index Exclusions :
• n/a

*Announcement Dates
Announcement of new number of shares in the index (Share Fixing Date):
• Wednesday, January 11th, 2023
Date of chaining (based on closing prices):
• Thursday, January 12th, 2023
Effective Date:
• Friday, January 13th, 2023

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