|
Fund Name |
| |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class
Y |
| ||||||||||||||||||||||||
|
MassMutual Total Return
Bond
Fund |
| | | | MSPZX | | | | | | MSPSX | | | | | | MSPHX | | | | | | MSPLX | | | | | | MSPGX | | | | | | MPTRX | | | | | | MSPNX | | | | | | MMNNX | | |
|
MassMutual Strategic Bond
Fund |
| | | | MSBZX | | | | | | MBSSX | | | | | | MBSYX | | | | | | MSBLX | | | | | | MSBRX | | | | | | MSBAX | | | | | | MSBNX | | | | | | MMNMX | | |
|
MassMutual Diversified
Value
Fund |
| | | | MDDIX | | | | | | MDVSX | | | | | | MDVYX | | | | | | MDDLX | | | | | | MDDRX | | | | | | MDDAX | | | | | | MDVNX | | | | | | MMNBX | | |
|
MassMutual Fundamental
Value
Fund |
| | | | MFUZX | | | | | | MVUSX | | | | | | MFUYX | | | | | | MFULX | | | | | | MFUFX | | | | | | MFUAX | | | | | | MFUNX | | | | | | MMNEX | | |
|
MM
S&P 500® Index Fund |
| | | | MMIZX | | | | | | MIEZX | | | | | | MMIEX | | | | | | MIEYX | | | | | | MIEAX | | | | | | MMFFX | | | | | | MMINX | | | | | | | | |
|
MassMutual Equity
Opportunities Fund |
| | | | MFVZX | | | | | | MFVSX | | | | | | MMFYX | | | | | | MMFVX | | | | | | MFVFX | | | | | | MFVAX | | | | | | MFVNX | | | | | | MMZOX | | |
|
MassMutual Fundamental
Growth Fund |
| | | | MOTZX | | | | | | MOTCX | | | | | | MOTYX | | | | | | MOTLX | | | | | | MFGFX | | | | | | MOTAX | | | | | | MOTNX | | | | | | MMNDX | | |
|
MassMutual Blue Chip
Growth Fund |
| | | | MBCZX | | | | | | MBCSX | | | | | | MBCYX | | | | | | MBCLX | | | | | | MBGFX | | | | | | MBCGX | | | | | | MBCNX | | | | | | MMZMX | | |
|
MassMutual Growth
Opportunities Fund |
| | | | MMAZX | | | | | | MGRSX | | | | | | MAGYX | | | | | | MAGLX | | | | | | MMGFX | | | | | | MMAAX | | | | | | MMANX | | | | | | MMNFX | | |
|
MassMutual Mid Cap Value
Fund |
| | | | MLUZX | | | | | | MLUSX | | | | | | MLUYX | | | | | | MLULX | | | | | | MLUFX | | | | | | MLUAX | | | | | | MLUNX | | | | | | MMNHX | | |
|
MassMutual Small Cap
Value
Equity Fund |
| | | | MMQIX | | | | | | MMQSX | | | | | | MMQYX | | | | | | MMQLX | | | | | | MMQFX | | | | | | MMQAX | | | | | | MMQTX | | | | | | MMNKX | | |
|
MassMutual Small
Company Value Fund |
| | | | MSVZX | | | | | | MSVSX | | | | | | MMVYX | | | | | | MMYLX | | | | | | MMVFX | | | | | | MMYAX | | | | | | MSVNX | | | | | | MMNLX | | |
|
MassMutual Mid Cap
Growth Fund |
| | | | MEFZX | | | | | | MGRFX | | | | | | MEFYX | | | | | | MMELX | | | | | | MEFFX | | | | | | MEFAX | | | | | | MEFNX | | | | | | MMNGX | | |
|
MassMutual Small Cap
Growth Equity Fund |
| | | | MSGZX | | | | | | MSGSX | | | | | | MSCYX | | | | | | MSGLX | | | | | | MSERX | | | | | | MMGEX | | | | | | MSGNX | | | | | | MMNJX | | |
|
MassMutual Overseas Fund |
| | | | MOSZX | | | | | | MOSSX | | | | | | MOSYX | | | | | | MOSLX | | | | | | MOSFX | | | | | | MOSAX | | | | | | MOSNX | | | | | | MMOJX | | |
|
MassMutual Select T. Rowe
Price
International Equity Fund |
| | | | MMIUX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | |
Page |
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-49 | | | |
| | | | B-50 | | | |
| | | | B-52 | | | |
| | | | B-62 | | | |
| | | | B-85 | | | |
| | | | B-97 | | | |
| | | | B-100 | | | |
| | | | B-101 | | | |
| | | | B-102 | | | |
| | | | B-102 | | | |
| | | | B-102 | | | |
| | | | B-102 | | | |
| | | | B-106 | | | |
| | | | B-108 | | | |
| | | | B-110 | | | |
| | | | B-112 | | | |
| | | | B-112 | | | |
| | | | B-113 | | | |
| | | | B-124 | | | |
| | | | B-125 | | | |
| | | | B-129 | | | |
| | | | B-297 | | |
| Nabil N. El‑Hage 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1958 Trustee of the Trust since 2012 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Maria D. Furman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2012 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| R. Bradford Malt 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| C. Ann Merrifield 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1951 Trustee of the Trust since 2012 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Cynthia R. Plouché 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Jason J. Price 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1973 Trustee of the Trust since 2022 Trustee of 113 portfolios in fund complex |
| | Trustee of the Trust | |
| Susan B. Sweeney 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1952 Chairperson of the Trust since 2022 Trustee of the Trust since 2009 Trustee of 115 portfolios in fund complex1 |
| | Chairperson and Trustee of the Trust | |
| Paul LaPiana2
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1969 Trustee of the Trust since 2023 Officer of the Trust 2021‑2023; since 2023 Trustee and Officer of 113 portfolios in fund complex |
| | Trustee and President of the Trust | |
| Clifford M. Noreen3
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2021 Trustee of 115 portfolios in fund complex4 |
| | Trustee of the Trust | |
| Andrew M. Goldberg 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1966 Officer of the Trust since 2001 Officer of 113 portfolios in fund complex |
| | Vice President, Secretary, and Chief Legal Officer of the Trust | |
| Renee Hitchcock 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1970 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Chief Financial Officer and Treasurer of the Trust | |
| Jill Nareau Robert 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1972 Officer of the Trust since 2008 Officer of 113 portfolios in fund complex |
| | Vice President and Assistant Secretary of the Trust | |
| Douglas Steele 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1975 Officer of the Trust since 2016 Officer of 113 portfolios in fund complex |
| | Vice President of the Trust | |
| Philip S. Wellman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1964 Officer of the Trust since 2007 Officer of 113 portfolios in fund complex |
| | Vice President and Chief Compliance Officer of the Trust | |
Name
of Trustee |
| |
The Dollar Range of Equity Securities Beneficially Owned in the Trust |
| |
Aggregate Dollar Range of Equity
Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|
Independent Trustees | | | | | | | |
Nabil N. El-Hage |
| |
None
|
| |
None
|
|
Maria D. Furman |
| |
None
|
| |
None
|
|
R.
Bradford Malt |
| |
None
|
| |
None
|
|
C.
Ann Merrifield |
| |
None
|
| |
None
|
|
Cynthia R. Plouché |
| |
None |
| |
None |
|
Jason J. Price |
| |
None |
| |
None |
|
Susan B. Sweeney |
| |
None
|
| |
None
|
|
Interested Trustees | | | | | | | |
Paul
LaPiana |
| |
None |
| |
None |
|
Clifford M. Noreen |
| |
None |
| |
$10,001-$50,000 |
|
Name of Trustee |
| |
Aggregate Compensation from the Trust |
| |
Total Compensation from the Trust and Fund Complex Paid to Trustees |
| ||||||
Allan W. Blair 1
|
| | | $ | 189,063 | | | | | $ | 288,600 | | |
Nabil N. El-Hage |
| | | $ | 194,174 2 | | | | | $ | 296,400 | | |
Michael R. Fanning 3
|
| | | $ | 0 | | | | | $ | 0 | | |
Maria D. Furman |
| | | $ | 177,138 | | | | | $ | 270,400 | | |
Paul
LaPiana 4
|
| | | $ | 0 | | | | | $ | 0 | | |
R.
Bradford Malt |
| | | $ | 177,138 | | | | | $ | 270,400 | | |
C.
Ann Merrifield |
| | | $ | 189,050 | | | | | $ | 288,600 | | |
Clifford M. Noreen |
| | | $ | 0 | | | | | $ | 0 | | |
Cynthia R. Plouché |
| | | $ | 177,138 | | | | | $ | 270,400 | | |
Jason J. Price |
| | | $ | 177,138 | | | | | $ | 270,400 | | |
Susan B. Sweeney |
| | | $ | 238,469 | | | | | $ | 490,150 | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 26.38% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.49% | | |
| | |
The Northern Trust
Company
FBO
MassMutual Total Return Bond CIT
333
South Wabash Avenue
Chicago,
IL 60604 |
| | | | 13.21% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 6.76% | | |
| | |
MassMutual 20/80 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 6.00% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 5.46% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 77.11% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.38% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 84.52% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.35% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 52.53% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 37.65% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.83% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 88.63% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.22% | | |
Class A |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 73.92% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 24.11% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 74.89% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.39% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 7.63% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 25.02% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.90% | | |
| | |
MassMutual 20/80 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 11.80% | | |
| | |
MassMutual 40/60 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 8.94% | | |
| | |
MassMutual 60/40 Allocation
Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.47% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.24% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 40.86% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 33.66% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.75% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 50.50% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 49.49% | | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 60.25% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 37.10% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 59.92% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 35.01% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 75.21% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 9.77% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.52% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 46.35% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 42.37% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 11.02% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 60.65% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 10.03% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 95.49% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 63.23% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.55% | | |
Administrative Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 60.79% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 39.21% | | |
Class R4 |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 42.42% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 37.27% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 20.30% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 74.19% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 18.65% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 52.18% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 47.44% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 66.67% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 8.89% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.29% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 85.05% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.83% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 65.24% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 34.04% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 93.90% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.83% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 99.33% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 67.54% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 19.14% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 11.80% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 43.74% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 34.88% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 21.38% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 23.71% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 19.36% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2040 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 11.02% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2050 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 8.93% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 7.43% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2045 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.95% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2035 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.65% | | |
Class R5 |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 53.39% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 41.06% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 60.58% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 34.65% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 48.27% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 44.99% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 51.48% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.77% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 12.65% | | |
Class A |
| |
Millennium Trust Company,
LLC
2001
Spring Road, Suite 700
Oak
Brook, IL 60523 |
| | | | 48.70% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 25.01% | | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 19.10% | | |
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 6.41% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 46.70% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 21.49% | | |
| | |
Sammons Financial Network,
LLC
4546
Corporate Drive, Suite 100
West Des
Moines, IA 50266 |
| | | | 14.46% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 30.05% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 20.37% | | |
| | |
Empower Trust Company,
LLC
FBO
State of Iowa 457B Plan
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 11.99% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 8.24% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 75.33% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 17.36% | | |
| | |
Capinco c/o U.S. Bank
N.A.
1555
North Rivercenter Drive, Suite 302
Milwaukee, WI 53212 |
| | | | 5.89% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 81.71% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 17.05% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 65.28% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 20.71% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 13.74% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 57.69% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.91% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 7.89% | | |
| | |
FIIOC
FBO
Atlas Minerals & Chemicals, Inc.
Union
401(K) PS Plan
100
Magellan Way
Covington, KY 41015 |
| | | | 5.85% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 54.71% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.54% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 17.36% | | |
Class R3 |
| |
Sammons Financial Network,
LLC
4546
Corporate Drive, Suite 100
West Des
Moines, IA 50266 |
| | | | 75.08% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 15.30% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 7.12% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 53.44% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.94% | | | |
Class R5 |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 60.88% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 39.12% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 81.48% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 14.91% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 78.97% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 21.03% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.62% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 83.41% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 10.41% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.43% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 81.40% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.21% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 30.16% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 27.19% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 26.98% | | | |
Class R5 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 47.37% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.02% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.36% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 59.83% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 29.90% | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 9.92% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 79.11% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.94% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 39.12% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 36.65% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 24.04% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 63.85% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.31% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 6.60% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.50% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 23.04% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Sammons Financial Network,
LLC
4546
Corporate Drive, Suite 100
West Des
Moines, IA 50266 |
| | | | 17.86% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.15% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 30.65% | | |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 20.40% | | | |
| | |
Oltrust & Co.
P.O. Box
966
Evansville, IN 47706 |
| | | | 6.10% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2040 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 6.07% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2050 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.04% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 74.78% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.70% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 58.53% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 41.12% | | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 91.16% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.84% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
Class R4 |
| |
TIAA, FSB
211
North Broadway, Suite 1000
Saint
Louis, MO 63102 |
| | | | 61.71% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 25.12% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 6.77% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.40% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.90% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 12.25% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 53.18% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 46.82% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 32.20% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.85% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.28% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 95.94% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 88.87% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 11.13% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 57.62% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 34.67% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 7.72% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 78.58% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.30% | | |
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 6.55% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 81.20% | | |
| | |
Matrix Trust Company
FBO
Craft Health 401K Plan
717 17th
Street, Suite 1300
Denver,
CO 80202 |
| | | | 16.86% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.64% | | |
| |
MassMutual RetireSMART by
JPMorgan 2040 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 10.09% | | | |
| | |
MassMutual RetireSMART by
JPMorgan 2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 9.91% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 8.97% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
| | |
MassMutual RetireSMART by
JPMorgan 2050 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 8.40% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2035 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 7.07% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2045 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 6.70% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 55.52% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 44.48% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.75% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 52.31% | | |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 34.23% | | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.46% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 64.54% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.99% | | |
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 5.56% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 43.68% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 31.01% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of
Class |
| |||
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.32% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 51.80% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 36.30% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 11.04% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 57.79% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 42.21% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 85.53% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 13.82% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.28% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 16.46% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 72.28% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 21.27% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.45% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 46.63% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 30.98% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 19.41% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.05% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 17.95% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 34.46% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 20.59% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 8.05% | | |
| | |
TIAA, FSB
211
North Broadway, Suite 1000
Saint
Louis, MO 63102 |
| | | | 7.93% | | |
| | |
DCGT
FBO PLIC
Various Retirement Plans Omnibus
711 High
Street
Des
Moines, IA 50392 |
| | | | 6.47% | | |
Class R5 |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 25.16% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 19.90% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.20% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 13.76% | | |
| | |
DCGT
FBO PLIC
Various Retirement Plans Omnibus
711 High
Street
Des
Moines, IA 50392 |
| | | | 6.43% | | |
Service Class |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 35.25% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.18% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 15.95% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 67.61% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 24.89% | | |
Class R4 |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 24.18% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.05% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 20.16% | | |
| | |
DCGT
FBO PLIC
Various Retirement Plans Omnibus
711 High
Street
Des
Moines, IA 50392 |
| | | | 9.35% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 7.91% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 66.28% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.83% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 9.95% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 60.02% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 23.28% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.98% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 29.22% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.55% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 12.60% | | |
| | |
TIAA, FSB
211
North Broadway, Suite 1000
Saint
Louis, MO 63102 |
| | | | 5.67% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 42.62% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 27.55% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.64% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 9.20% | | |
| | |
TIAA, FSB
211
North Broadway, Suite 1000
Saint
Louis, MO 63102 |
| | | | 5.10% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 49.62% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 48.15% | | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 67.09% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.29% | | |
Class R4 |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 66.26% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 22.50% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 5.72% | | |
| | |
Ascensus Trust Company
FBO
Construction Resources Holdings
P.O. Box
10758
Fargo,
ND 58106 |
| | | | 5.49% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 72.35% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 19.42% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.03% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 52.20% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 38.78% | | |
| | |
State Street Bank
FBO ADP
Access Product
1
Lincoln Street
Boston,
MA 02111 |
| | | | 5.55% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 33.16% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.20% | | |
| | |
MassMutual RetireSMART by
JPMorgan 2040 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.92% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 55.02% | | |
| | |
PIMS/Prudential
Retirement
FBO
Power Profit Sharing 401(K) Plan
2041
South Cobalt Point Way
Meridian, ID 83642 |
| | | | 29.63% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.90% | | |
Service Class |
| |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 86.47% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 12.33% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 72.69% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.16% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.73% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 37.94% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 10.88% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 63.96% | | |
| | |
Empower Trust Company,
LLC
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.58% | | |
| | |
Reliance Trust Company
P.O. Box
28004
Atlanta,
GA 30358 |
| | | | 12.16% | | |
| | |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07303 |
| | | | 7.39% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor,
CT 06095 |
| | | | 49.32% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 37.56% | | |
| | |
State Street Bank
FBO ADP
Access Product
1
Lincoln Street
Boston,
MA 02111 |
| | | | 8.99% | | |
Class Y |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
MassMutual Select T. Rowe Price Retirement
2040 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 20.85% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2050 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 16.53% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2030 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 16.23% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2045 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 10.99% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2035 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 10.91% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2055 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 7.63% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
MassMutual Select T. Rowe Price Retirement
2025 Fund
1295
State Street
Springfield, MA 01111 |
| | | | 5.09% | | |
Fund |
| | | |
Total Return Bond Fund |
| | 0.30% on the first $2 billion; and
0.27% on assets over $2 billion |
|
Strategic Bond Fund |
| | 0.45% on the first $200 million; and
0.35% on assets over $200 million |
|
Diversified Value Fund |
| | 0.50% on the first $400 million; and
0.475% on assets over $400 million |
|
Fundamental Value Fund |
| | 0.60% on the first $1.25 billion;
0.575% on the next $250 million; and 0.55% on assets over $1.5 billion |
|
S&P 500 Index Fund |
| | 0.10% on the first $2.5 billion; 0.08% on the next $2.5 billion; and 0.05% on assets over $5 billion |
|
Equity Opportunities Fund |
| | 0.69% on the first $1 billion; and
0.64% on assets over $1 billion |
|
Fundamental Growth Fund |
| | 0.65% on the first $300 million; and
0.60% on assets over $300 million |
|
Blue
Chip Growth Fund |
| | 0.65% on the first $750 million; and
0.60% on assets over $750 million |
|
Growth Opportunities Fund |
| | 0.71% on the first $500 million; and
0.68% on assets over $500 million |
|
Mid
Cap Value Fund |
| | 0.70% on the first $300 million; and
0.65% on assets over $300 million |
|
Small Cap Value Equity Fund
|
| | 0.75% on the first $300 million; and
0.70% on assets over $300 million |
|
Small Company Value Fund |
| | 0.85% on the first $750 million; and
0.80% on assets over $750 million |
|
Mid
Cap Growth Fund |
| | 0.67% on the first $2 billion; and
0.62% on assets over $2 billion |
|
Fund |
| | | |
Small Cap Growth Equity Fund
|
| | 0.80% on the first $1 billion; and
0.78% on assets over $1 billion |
|
Overseas Fund |
| | 0.80% on the first $750 million; 0.775% on the next $500 million; and 0.75% on assets over $1.25 billion |
|
MM
Select T. Rowe Price International Equity Fund |
| | 0.00% | |
| | | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
| ||||||||||||||||||||||||
|
Total Return Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Strategic Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Diversified Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Fundamental Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
S&P 500 Index Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.25% | | | | | | 0.35% | | | | | | 0.25% | | | | | | 0.35% | | | | | | 0.25% | | | |
N/A |
| |||
|
Equity Opportunities Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Fundamental Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Blue Chip Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Growth Opportunities Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Mid
Cap Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
| Small Cap Value Equity Fund | | | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Small Company Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Mid
Cap Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Small Cap Growth Equity
Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Overseas Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.25% | | | | | | 0.20% | | | | | | 0.10% | | |
|
MM Select T. Rowe Price
International Equity Fund
|
| | | | None | | | |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
|
| | |
Fiscal Year Ended
September 30, 2023 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Total Return Bond Fund 1
|
| | | $ | 2,300,480 | | | | | $ | 1,051,200 | | | | | $ | (169,172) | | | | | $ | 328,854 | | | | | $ | (109,409) | | |
Strategic Bond Fund 2
|
| | | | 1,681,880 | | | | | | 704,956 | | | | | | (211,697) | | | | | | 233,710 | | | | | | — | | |
Diversified Value Fund |
| | | | 1,513,928 | | | | | | 674,927 | | | | | | — | | | | | | 221,311 | | | | | | — | | |
Fundamental Value Fund |
| | | | 2,756,686 | | | | | | 1,264,604 | | | | | | — | | | | | | 286,397 | | | | | | — | | |
S&P 500 Index Fund |
| | | | 2,439,912 | | | | | | 202,549 | | | | | | — | | | | | | 3,379,693 | | | | | | — | | |
Equity Opportunities Fund |
| | | | 4,335,475 | | | | | | 1,929,170 | | | | | | — | | | | | | 423,471 | | | | | | — | | |
Fundamental Growth Fund 3
|
| | | | 184,350 | | | | | | 123,262 | | | | | | (14,181) | | | | | | 59,146 | | | | | | — | | |
Blue
Chip Growth Fund |
| | | | 14,970,707 | | | | | | 7,308,177 | | | | | | — | | | | | | 1,535,589 | | | | | | — | | |
Growth Opportunities Fund 4
|
| | | | 1,558,824 | | | | | | 733,012 | | | | | | (43,908) | | | | | | 183,477 | | | | | | — | | |
Mid
Cap Value Fund 5
|
| | | | 778,501 | | | | | | 359,783 | | | | | | — | | | | | | 9,655 | | | | | | (425,568) | | |
| | |
Fiscal Year Ended
September 30, 2023 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Small Cap Value Equity Fund
|
| | | | 407,265 | | | | | | 267,904 | | | | | | — | | | | | | 38,406 | | | | | | — | | |
Small Company Value Fund 6
|
| | | | 1,803,056 | | | | | | 1,006,063 | | | | | | — | | | | | | 116,807 | | | | | | (326,560) | | |
Mid
Cap Growth Fund 7
|
| | | | 35,937,804 | | | | | | 21,497,747 | | | | | | (1,990,475) | | | | | | 2,062,894 | | | | | | — | | |
Small Cap Growth Equity Fund
|
| | | | 5,690,379 | | | | | | 3,652,530 | | | | | | — | | | | | | 292,177 | | | | | | — | | |
Overseas Fund 8
|
| | | | 3,758,538 | | | | | | 2,181,611 | | | | | | — | | | | | | 310,379 | | | | | | (575,877) | | |
MM Select T. Rowe Price
International
Equity Fund9
|
| | | | — | | | | | | — | | | | | | — | | | | | | | | | | | | (1,181,072) | | |
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Total Return Bond Fund 1
|
| | | $ | 2,433,628 | | | | | $ | 1,088,619 | | | | | $ | (243,363) | | | | | $ | 399,344 | | | | | $ | — | | |
Strategic Bond Fund 2
|
| | | | 1,966,150 | | | | | | 869,178 | | | | | | (252,307) | | | | | | 355,494 | | | | | | — | | |
Diversified Value Fund |
| | | | 1,802,361 | | | | | | 802,075 | | | | | | — | | | | | | 256,901 | | | | | | — | | |
Fundamental Value Fund |
| | | | 3,333,973 | | | | | | 1,483,298 | | | | | | — | | | | | | 388,987 | | | | | | — | | |
S&P 500 Index Fund |
| | | | 2,966,050 | | | | | | 250,502 | | | | | | — | | | | | | 4,159,740 | | | | | | — | | |
Equity Opportunities Fund |
| | | | 4,925,333 | | | | | | 2,175,135 | | | | | | — | | | | | | 532,181 | | | | | | — | | |
Fundamental Growth Fund 3
|
| | | | 271,192 | | | | | | 180,454 | | | | | | (3,775) | | | | | | 73,579 | | | | | | — | | |
Blue
Chip Growth Fund |
| | | | 21,544,826 | | | | | | 10,621,148 | | | | | | — | | | | | | 2,227,677 | | | | | | — | | |
Growth Opportunities Fund 4
|
| | | | 2,594,889 | | | | | | 1,215,251 | | | | | | (73,133) | | | | | | 290,168 | | | | | | — | | |
Mid
Cap Value Fund 5
|
| | | | 835,677 | | | | | | 384,450 | | | | | | — | | | | | | 9,974 | | | | | | (378,927) | | |
Small Cap Value Equity Fund
|
| | | | 449,998 | | | | | | 294,824 | | | | | | — | | | | | | 43,295 | | | | | | — | | |
Small Company Value Fund 6
|
| | | | 2,207,447 | | | | | | 1,230,662 | | | | | | — | | | | | | 153,485 | | | | | | (240,158) | | |
Mid
Cap Growth Fund 7
|
| | | | 48,463,244 | | | | | | 29,674,666 | | | | | | (1,497,063) | | | | | | 2,889,026 | | | | | | — | | |
Small Cap Growth Equity Fund
|
| | | | 5,226,397 | | | | | | 3,367,581 | | | | | | — | | | | | | 355,630 | | | | | | — | | |
Overseas Fund 8
|
| | | | 4,456,361 | | | | | | 2,528,164 | | | | | | — | | | | | | 367,605 | | | | | | (641,568) | | |
MM Select T. Rowe Price
International
Equity Fund9
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (1,278,606) | | |
| | | |
Fiscal Year Ended
September 30, 2021 |
| |||||||||||||||||||||||||||||||||
| | | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Supplemental Shareholder Services Fees Paid |
| |
Other Expenses Reimbursed |
| ||||||||||||||||||
|
Total Return Bond Fund 1
|
| | | $ | 2,736,139 | | | | | $ | 1,200,332 | | | | | $ | (236,008) | | | | | $ | 509,955 | | | | | $ | 23,573 | | | | | $ | — | | |
|
Strategic Bond Fund 2
|
| | | | 2,763,689 | | | | | | 1,225,656 | | | | | | (47,321) | | | | | | 585,747 | | | | | | 56,463 | | | | | | — | | |
|
Diversified Value Fund |
| | | | 1,956,501 | | | | | | 866,306 | | | | | | — | | | | | | 259,176 | | | | | | 19,660 | | | | | | — | | |
|
Fundamental Value Fund |
| | | | 3,624,144 | | | | | | 1,588,499 | | | | | | — | | | | | | 449,770 | | | | | | 39,041 | | | | | | — | | |
|
S&P 500 Index Fund |
| | | | 3,276,380 | | | | | | 279,719 | | | | | | — | | | | | | 4,717,662 | | | | | | 205,119 | | | | | | — | | |
|
Equity Opportunities Fund |
| | | | 5,349,429 | | | | | | 2,355,624 | | | | | | — | | | | | | 570,252 | | | | | | 45,221 | | | | | | — | | |
|
Fundamental Growth Fund |
| | | | 420,446 | | | | | | 277,854 | | | | | | — | | | | | | 104,246 | | | | | | 12,334 | | | | | | — | | |
|
Blue
Chip Growth Fund |
| | | | 27,410,846 | | | | | | 13,628,378 | | | | | | — | | | | | | 2,914,100 | | | | | | 254,096 | | | | | | — | | |
|
Growth Opportunities Fund 3
|
| | | | 3,750,207 | | | | | | 1,784,532 | | | | | | (105,900) | | | | | | 426,134 | | | | | | 42,413 | | | | | | — | | |
|
Mid
Cap Value Fund 4
|
| | | | 844,752 | | | | | | 433,438 | | | | | | — | | | | | | 15,897 | | | | | | 1,667 | | | | | | (271,653) | | |
|
Small Cap Value Equity Fund
|
| | | | 642,117 | | | | | | 417,682 | | | | | | — | | | | | | 52,092 | | | | | | 3,903 | | | | | | — | | |
|
Small Company Value Fund 5
|
| | | | 2,152,369 | | | | | | 1,202,906 | | | | | | — | | | | | | 161,648 | | | | | | 11,183 | | | | | | (63,681) | | |
|
Mid
Cap Growth Fund |
| | | | 65,355,447 | | | | | | 43,834,282 | | | | | | — | | | | | | 4,008,134 | | | | | | 225,608 | | | | | | — | | |
|
Small Cap Growth Equity Fund
|
| | | | 5,948,196 | | | | | | 3,812,722 | | | | | | — | | | | | | 470,077 | | | | | | 31,523 | | | | | | — | | |
|
Overseas Fund 6
|
| | | | 5,600,920 | | | | | | 3,122,376 | | | | | | — | | | | | | 431,368 | | | | | | 25,752 | | | | | | (664,788) | | |
|
MM Select T. Rowe Price
International Equity
Fund7
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (1,204,393) | | |
| | | | | | | | | |
Sales Charge
Revenue |
| | | | |
CDSC Revenue |
| ||||||||||||||||||||||||||||||
| | | |
Fiscal Year Ended |
| |
Amount Paid to Distributor |
| |
Amount Reallowed to Dealers |
| |
Amount Retained by Distributor |
| | | | |
Amount Paid to Distributor |
| |
Amount Reallowed to Dealers |
| |
Amount Retained by Distributor |
| |||||||||||||||||||||
|
Diversified Value Fund –
Class A |
| | | | 2023 | | | | | $ | 2,384 | | | | | $ | 1,863 | | | | | $ | 522 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 936 | | | | | $ | 730 | | | | | $ | 205 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 58 | | | | | $ | 47 | | | | | $ | 11 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | | | | |
Sales Charge
Revenue |
| | | | |
CDSC Revenue |
| ||||||||||||||||||||||||||||||
| | | |
Fiscal Year Ended |
| |
Amount Paid to Distributor |
| |
Amount Reallowed to Dealers |
| |
Amount Retained by Distributor |
| | | | |
Amount Paid to Distributor |
| |
Amount Reallowed to Dealers |
| |
Amount Retained by Distributor |
| |||||||||||||||||||||
|
Fundamental Value
Fund – Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 944 | | | | | $ | 730 | | | | | $ | 214 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
S&P 500 Index
Fund –
Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 88 | | | | | $ | 72 | | | | | $ | 16 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Equity Opportunities
Fund – Class A |
| | | | 2023 | | | | | $ | 1,466 | | | | | $ | 1,132 | | | | | $ | 335 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 1,216 | | | | | $ | 948 | | | | | $ | 267 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 58 | | | | | $ | 47 | | | | | $ | 10 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Blue Chip Growth
Fund – Class A |
| | | | 2023 | | | | | $ | 1,048 | | | | | $ | 858 | | | | | $ | 190 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 3,122 | | | | | $ | 2,541 | | | | | $ | 581 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 3,851 | | | | | $ | 3,131 | | | | | $ | 720 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Growth Opportunities
Fund – Class A |
| | | | 2023 | | | | | $ | 350 | | | | | $ | 282 | | | | | $ | 68 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Small Company Value
Fund – Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 11 | | | | | $ | 9 | | | | | $ | 2 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Mid Cap Growth Fund –
Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 449 | | | | | $ | 353 | | | | | $ | 96 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 49 | | | | | $ | 41 | | | | | $ | 8 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Small Cap Growth
Equity
Fund – Class A |
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 258 | | | | | $ | 204 | | | | | $ | 55 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2021 | | | | | $ | 1,579 | | | | | $ | 1,225 | | | | | $ | 354 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
Amount
of Purchase |
| |
Front-End Sales Charge as a Percentage of Offering Price |
| |
Front-End Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a Percentage of Offering Price |
| |||
Less
than $25,000 |
| |
4.25% |
| |
4.44% |
| | | | 3.50% | | |
$25,000-$49,999 |
| |
4.25% |
| |
4.44% |
| | | | 3.50% | | |
$50,000-$99,999 |
| |
4.00% |
| |
4.17% |
| | | | 3.25% | | |
$100,000-$249,999 |
| |
3.00% |
| |
3.09% |
| | | | 2.25% | | |
$250,000-$499,999 |
| |
1.75% |
| |
1.78% |
| | | | 1.50% | | |
$500,000-$999,999 |
| |
1.25% |
| |
1.27% |
| | | | 1.00% | | |
$1,000,000-$4,999,999 1 | | |
None |
| |
None |
| | | | 1.00% | | |
$5,000,000 or more 1
|
| |
None |
| |
None |
| | | | 0.50% | | |
Amount
of Purchase |
| |
Front-End Sales Charge as a Percentage of Offering Price |
| |
Front-End Sales Charge as a Percentage of Net Amount Invested |
| |
Commission as a Percentage of Offering Price |
| |||
Less
than $25,000 |
| |
5.50% |
| |
5.82% |
| | | | 4.50% | | |
$25,000-$49,999 |
| |
5.25% |
| |
5.54% |
| | | | 4.25% | | |
$50,000-$99,999 |
| |
4.50% |
| |
4.71% |
| | | | 3.50% | | |
$100,000-$249,999 |
| |
3.50% |
| |
3.63% |
| | | | 2.50% | | |
$250,000-$499,999 |
| |
2.25% |
| |
2.30% |
| | | | 1.75% | | |
$500,000-$999,999 |
| |
1.75% |
| |
1.78% |
| | | | 1.10% | | |
$1,000,000-$4,999,999 1 | | |
None |
| |
None |
| | | | 1.00% | | |
$5,000,000 or more 1
|
| |
None |
| |
None |
| | | | 0.50% | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
Total Return Bond Fund |
| | | $ | 133,157 | | | | | $ | 28,213 | | | | | $ | 75,452 | | |
Strategic Bond Fund |
| | | | 45,929 | | | | | | 30,726 | | | | | | 24,128 | | |
Diversified Value Fund |
| | | | 24,885 | | | | | | 59,628 | | | | | | 5,868 | | |
Fundamental Value Fund |
| | | | 10,545 | | | | | | 62,438 | | | | | | 6,564 | | |
S&P 500 Index Fund |
| | | | 913,698 | | | | | | 46,339 | | | | | | 1,186,860 | | |
Equity Opportunities Fund |
| | | | 19,363 | | | | | | 101,457 | | | | | | 29,588 | | |
Fundamental Growth Fund |
| | | | 3,529 | | | | | | 19,970 | | | | | | 6,420 | | |
Blue
Chip Growth Fund |
| | | | 127,740 | | | | | | 211,746 | | | | | | 164,106 | | |
Growth Opportunities Fund |
| | | | 1,878 | | | | | | 40,525 | | | | | | 8,422 | | |
Mid
Cap Value Fund |
| | | | 812 | | | | | | 3,890 | | | | | | 796 | | |
Small Cap Value Equity Fund
|
| | | | 3,431 | | | | | | 11,960 | | | | | | 3,316 | | |
Small Company Value Fund |
| | | | 1,733 | | | | | | 26,763 | | | | | | 1,904 | | |
Mid
Cap Growth Fund |
| | | | 135,822 | | | | | | 229,294 | | | | | | 101,496 | | |
Small Cap Growth Equity Fund
|
| | | | 31,454 | | | | | | 47,490 | | | | | | 18,752 | | |
Overseas Fund |
| | | | 49,092 | | | | | | 39,421 | | | | | | 25,288 | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
| | | | $ | 1,503,068 | | | | | $ | 959,860 | | | | | $ | 1,658,960 | | |
|
| | |
Fiscal Year ended September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |||||||||
Total Return Bond Fund |
| | | $ | 22,354 | | | | | $ | 33,155 | | | | | $ | 1,860 | | |
| | |
Fiscal Year ended September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |||||||||
Strategic Bond Fund |
| | | $ | 139,998 | | | | | $ | 122,651 | | | | | $ | 85,217 | | |
Diversified Value Fund |
| | | $ | 76,467 | | | | | $ | 79,157 | | | | | $ | 55,552 | | |
Fundamental Value Fund |
| | | $ | 141,017 | | | | | $ | 146,684 | | | | | $ | 171,582 | | |
S&P 500 Index Fund |
| | | $ | 34,764 | | | | | $ | 83,998 | | | | | $ | 176,026 | | |
Equity Opportunities Fund |
| | | $ | 46,642 | | | | | $ | 61,908 | | | | | $ | 57,991 | | |
Fundamental Growth Fund |
| | | $ | 8,228 | | | | | $ | 17,101 | | | | | $ | 78,531 | | |
Blue
Chip Growth Fund |
| | | $ | 272,493 | | | | | $ | 240,994 | | | | | $ | 154,023 | | |
Growth Opportunities Fund |
| | | $ | 69,360 | | | | | $ | 43,393 | | | | | $ | 66,783 | | |
Mid
Cap Value Fund |
| | | $ | 59,713 | | | | | $ | 59,625 | | | | | $ | 155,984 | | |
Small Cap Value Equity Fund
|
| | | $ | 31,687 | | | | | $ | 34,942 | | | | | $ | 178,851 | | |
Small Company Value Fund |
| | | $ | 88,782 | | | | | $ | 104,551 | | | | | $ | 129,755 | | |
Mid
Cap Growth Fund |
| | | $ | 1,277,718 | | | | | $ | 1,431,221 | | | | | $ | 279,341 | | |
Small Cap Growth Equity Fund
|
| | | $ | 462,701 | | | | | $ | 437,873 | | | | | $ | 243,394 | | |
Overseas Fund |
| | | $ | 75,776 | | | | | $ | 119,365 | | | | | $ | 249,233 | | |
MM
Select T. Rowe Price International Equity Fund |
| | | $ | 552,811 | | | | | $ | 642,373 | | | | | $ | 690,962 | | |
| | |
Fiscal Year ended
September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |||||||||||||||||||||
Affiliated Broker/Dealer |
| |
Aggregate Commissions Paid |
| |
Percentage Paid to Affiliates |
| |
Percentage of Dollar Amount of Transactions Involving Payment of Commissions to Affiliates |
| |
Aggregate Commissions Paid |
| |
Aggregate Commissions Paid |
| |||||||||||||||
Jefferies LLC | | ||||||||||||||||||||||||||||||
Diversified Value Fund 1
|
| | | $ | 890 | | | | | | 1.16% | | | | | | 3.40% | | | | | $ | 753 | | | | | $ | 1,029 | | |
Equity Opportunities Fund 1
|
| | | $ | 1,406 | | | | | | 3.01% | | | | | | 5.01% | | | | | $ | 1,437 | | | | | $ | 1,259 | | |
Fundamental Growth Fund 1
|
| | | $ | 211 | | | | | | 2.56% | | | | | | 1.52% | | | | | $ | 64 | | | | | $ | 102 | | |
Blue Chip Growth Fund 1
|
| | | $ | 2,349 | | | | | | 0.86% | | | | | | 2.28% | | | | | $ | 1,070 | | | | | $ | 4,452 | | |
Mid Cap Value Fund 1
|
| | | $ | — | | | | | | —% | | | | | | —% | | | | | $ | 62 | | | | | $ | 24 | | |
Mid Cap Growth Fund 1
|
| | | $ | 12,790 | | | | | | 1.00% | | | | | | 3.03% | | | | | $ | 15,260 | | | | | $ | 29,978 | | |
Small Cap Growth Equity Fund 1
|
| | | $ | 36 | | | | | | —% | | | | | | —% | | | | | $ | — | | | | | $ | — | | |
MM
Select T. Rowe Price International
Equity Fund1
|
| | | $ | 24,053 | | | | | | 4.35% | | | | | | 13.65% | | | | | $ | 29,930 | | | | | $ | 21,158 | | |
| | |
Dollar Value of Those
Transactions |
| |
Amount of Commissions |
| ||||||
Diversified Value Fund |
| | | $ | 44,209,913 | | | | | $ | 15,322 | | |
Fundamental Value Fund |
| | | $ | 222,603,687 | | | | | $ | 101,152 | | |
Equity Opportunities Fund |
| | | $ | 170,180,382 | | | | | $ | 6,990 | | |
Fundamental Growth Fund |
| | | $ | 28,457,882 | | | | | $ | 2,797 | | |
Blue
Chip Growth Fund |
| | | $ | 1,032,187,199 | | | | | $ | 118,615 | | |
Growth Opportunities Fund 1
|
| | | $ | 122,050,296 | | | | | $ | 31,402 | | |
Mid
Cap Value Fund |
| | | $ | 179,395,059 | | | | | $ | 68,961 | | |
Small Cap Value Equity Fund
|
| | | $ | 34,550,474 | | | | | $ | 9,464 | | |
Small Company Value Fund |
| | | $ | 74,973,230 | | | | | $ | 46,245 | | |
Mid
Cap Growth Fund |
| | | $ | 526,971,768 | | | | | $ | 93,882 | | |
Small Cap Growth Equity Fund
|
| | | $ | 761,758,501 | | | | | $ | 257,533 | | |
Overseas Fund |
| | | $ | 39,128,735 | | | | | $ | 55,984 | | |
MM
Select T. Rowe Price International Equity Fund |
| | | $ | 227,840,984 | | | | | $ | 145,142 | | |
Fund |
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
Total Return Bond Fund |
| | Bank of America Corp. | | | | $ | 11,598,314 | | |
| | | UBS AG | | | | | 10,844,684 | | |
| | | JPMorgan Chase & Co. | | | | | 8,037,743 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 7,691,708 | | |
| | | Wells Fargo & Company | | | | | 7,658,785 | | |
| | | Morgan Stanley | | | | | 5,975,904 | | |
| | | Citigroup, Inc. | | | | | 5,261,158 | | |
| | | | | | $ | 57,068,296 | | | |
Strategic Bond Fund |
| | Bank of America Corp. | | | | $ | 4,283,642 | | |
| | | Wells Fargo & Company | | | | | 3,336,783 | | |
| | | Citigroup, Inc. | | | | | 2,661,615 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,319,400 | | |
| | | JPMorgan Chase & Co. | | | | | 2,173,512 | | |
| | | UBS AG | | | | | 2,146,867 | | |
| | | Morgan Stanley | | | | | 1,132,161 | | |
| | | Barclays plc | | | | | 455,781 | | |
| | | | | | | $ | 18,509,761 | | |
Diversified Value Fund |
| | JPMorgan Chase & Co. | | | | $ | 8,454,666 | | |
| | | Wells Fargo & Company | | | | | 4,380,151 | | |
| | | Morgan Stanley | | | | | 2,744,112 | | |
| | | Bank of America Corp. | | | | | 2,256,112 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,167,919 | | |
Fund |
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
| | | Citigroup, Inc. | | | | | 1,472,454 | | |
| | | State Street Corp. | | | | | 462,024 | | |
| | | T. Rowe Price Group, Inc. | | | | | 450,941 | | |
| | | | | | | $ | 22,388,379 | | |
Fundamental Value Fund |
| | JPMorgan Chase & Co. | | | | $ | 10,802,105 | | |
| | | Wells Fargo & Company | | | | | 8,517,390 | | |
| | | Morgan Stanley | | | | | 3,855,477 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,671,394 | | |
| | | | | | | $ | 25,846,366 | | |
S&P 500 Index Fund |
| | JPMorgan Chase & Co. | | | | $ | 27,998,866 | | |
| | | Bank of America Corp. | | | | | 12,565,695 | | |
| | | Wells Fargo & Company | | | | | 9,920,032 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 7,072,917 | | |
| | | Morgan Stanley | | | | | 6,909,119 | | |
| | | Citigroup, Inc. | | | | | 5,246,707 | | |
| | | T. Rowe Price Group, Inc. | | | | | 1,578,294 | | |
| | | State Street Corp. | | | | | 1,400,200 | | |
| | | | | | | $ | 72,691,830 | | |
Equity Opportunities Fund |
| | Wells Fargo & Company | | | | $ | 7,747,056 | | |
| | | | | | $ | 7,747,056 | | | |
Blue
Chip Growth Fund |
| | Morgan Stanley | | | | $ | 5,928,834 | | |
| | The Goldman Sachs Group, Inc. | | | | | 3,169,368 | | | |
| | | | | | | $ | 9,098,202 | | |
Mid
Cap Value Fund |
| | T. Rowe Price Group, Inc. | | | | $ | 501,279 | | |
| | | | | | | $ | 501,279 | | |
Overseas Fund |
| | UBS AG | | | | $ | 5,409,729 | | |
| | | | | | $ | 5,409,729 | | | |
MM
Select T. Rowe Price International Equity Fund |
| | UBS AG | | | | $ | 3,581,084 | | |
| | | Barclays plc | | | | | 2,005,304 | | |
| | | | | | | $ | 5,586,388 | | |
|
|
FUND
|
| |
Gross income earned by the Fund from securities lending activities |
| |
Fees paid to securities lending agent from a revenue split |
| |
Fees paid for any cash collateral management service (including fees deducted from a pooled cash collateral reinvestment vehicle) that are not included in a revenue split |
| |
Administrative fees not included in a revenue split |
| |
Indemnification fees not included in a revenue split |
| |
Rebate (paid to borrower) |
| |
Other fees not included in a revenue split, if applicable, including a description of those other fees |
| |
Aggregate fees/compensation paid by the Fund for securities lending activities |
| |
Net income from securities lending activities |
| |||||||||||||||||||||||||||
|
Total Return Bond
Fund |
| | | $ | 1,199,834 | | | | | $ | 36,656 | | | | | $ | 8,081 | | | | | $ | — | | | | | $ | — | | | | | $ | 947,378 | | | | | $ | — | | | | | $ | 992,116 | | | | | $ | 207,718 | | |
|
Strategic Bond
Fund |
| | | $ | 162,236 | | | | | $ | 5,730 | | | | | $ | 1,126 | | | | | $ | — | | | | | $ | — | | | | | $ | 122,913 | | | | | $ | — | | | | | $ | 129,768 | | | | | $ | 32,468 | | |
|
Diversified Value
Fund |
| | | $ | 30,534 | | | | | $ | 1,202 | | | | | $ | 175 | | | | | $ | — | | | | | $ | — | | | | | $ | 22,344 | | | | | $ | — | | | | | $ | 23,721 | | | | | $ | 6,813 | | |
|
Fundamental
Value
Fund |
| | | $ | 150,595 | | | | | $ | 4,290 | | | | | $ | 950 | | | | | $ | — | | | | | $ | — | | | | | $ | 121,043 | | | | | $ | — | | | | | $ | 126,283 | | | | | $ | 24,312 | | |
|
S&P 500 Index
Fund |
| | | $ | 8,658 | | | | | $ | 890 | | | | | $ | 34 | | | | | $ | — | | | | | $ | — | | | | | $ | 2,687 | | | | | $ | — | | | | | $ | 3,612 | | | | | $ | 5,046 | | |
|
Equity
Opportunities Fund |
| | | $ | 54,775 | | | | | $ | 2,057 | | | | | $ | 335 | | | | | $ | — | | | | | $ | — | | | | | $ | 40,728 | | | | | $ | — | | | | | $ | 43,120 | | | | | $ | 11,655 | | |
|
Fundamental
Growth Fund |
| | | $ | 5,914 | | | | | $ | 129 | | | | | $ | 40 | | | | | $ | — | | | | | $ | — | | | | | $ | 5,017 | | | | | $ | — | | | | | $ | 5,185 | | | | | $ | 729 | | |
|
Blue Chip Growth
Fund |
| | | $ | 151,659 | | | | | $ | 3,997 | | | | | $ | 981 | | | | | $ | — | | | | | $ | — | | | | | $ | 124,035 | | | | | $ | — | | | | | $ | 129,012 | | | | | $ | 22,647 | | |
|
Growth
Opportunities Fund |
| | | $ | 37,599 | | | | | $ | 703 | | | | | $ | 257 | | | | | $ | — | | | | | $ | — | | | | | $ | 32,658 | | | | | $ | — | | | | | $ | 33,617 | | | | | $ | 3,982 | | |
|
Mid Cap Value
Fund |
| | | $ | 13,748 | | | | | $ | 895 | | | | | $ | 64 | | | | | $ | — | | | | | $ | — | | | | | $ | 7,719 | | | | | $ | — | | | | | $ | 8,678 | | | | | $ | 5,070 | | |
|
Small Cap Value
Equity Fund |
| | | $ | 10,442 | | | | | $ | 254 | | | | | $ | 66 | | | | | $ | — | | | | | $ | — | | | | | $ | 8,681 | | | | | $ | — | | | | | $ | 9,002 | | | | | $ | 1,440 | | |
|
Small Company
Value
Fund |
| | | $ | 66,343 | | | | | $ | 4,475 | | | | | $ | 309 | | | | | $ | — | | | | | $ | — | | | | | $ | 36,201 | | | | | $ | — | | | | | $ | 40,985 | | | | | $ | 25,358 | | |
|
Mid Cap Growth
Fund |
| | | $ | 1,104,168 | | | | | $ | 69,253 | | | | | $ | 5,465 | | | | | $ | — | | | | | $ | — | | | | | $ | 637,019 | | | | | $ | — | | | | | $ | 711,736 | | | | | $ | 392,432 | | |
|
Small Cap Growth
Equity Fund |
| | | $ | 447,344 | | | | | $ | 15,540 | | | | | $ | 2,717 | | | | | $ | — | | | | | $ | — | | | | | $ | 341,027 | | | | | $ | — | | | | | $ | 359,284 | | | | | $ | 88,060 | | |
|
Overseas Fund |
| | | $ | 223,094 | | | | | $ | 11,036 | | | | | $ | 1,252 | | | | | $ | — | | | | | $ | — | | | | | $ | 148,271 | | | | | $ | — | | | | | $ | 160,559 | | | | | $ | 62,535 | | |
|
MM Select T.
Rowe
Price International Equity Fund |
| | | $ | 812,728 | | | | | $ | 60,677 | | | | | $ | 3,510 | | | | | $ | — | | | | | $ | — | | | | | $ | 404,705 | | | | | $ | — | | | | | $ | 468,892 | | | | | $ | 343,836 | | |
| | | | | B-135 | | | |
| | | | | B-135 | | | |
| | | | | B-136 | | | |
| | | | | B-137 | | | |
| | | | | B-140 | | | |
| | | | | B-143 | | | |
| | | | | B-146 | | | |
| | | | | B-147 | | | |
| | | | | B-150 | | | |
| | | | | B-153 | | | |
| | | | | B-153 | | | |
| | | | | B-153 | | | |
| | | | | B-153 | | | |
| | | | | B-153 | | | |
| | | | | B-154 | | | |
| | | | | B-154 | | | |
| | | | | B-155 | | | |
| | | | | B-155 | | | |
| | | | | B-155 | | | |
| | | | | B-155 | | | |
| | | | | B-155 | | | |
| | | | | B-156 | | | |
| | | | | B-156 | | | |
| | | | | B-156 | | | |
| | | | | B-156 | | | |
|
6.6
DOCUMENTS PREPARED BY AB THAT ARE MATERIAL TO |
| ||||||
| | | | | B-156 | | | |
| | | | | B-156 | | | |
| | | | | B-156 | | | |
| | | | | B-156 | | | |
| | | | | B-157 | | |
|
Shareholder Proposal |
| | | | |
For |
| |
Against |
| |
Case-by- Case |
|
|
Board and Director Proposals |
| ||||||||||||
| | | | Board Diversity | | | | | | | | |
+
|
|
|
+
|
| | Establish New Board Committees and Elect Board Members with Specific Expertise | | | | | | | | |
+
|
|
| | | | Changes in Board Structure and Amending the Articles of Incorporation | | |
+
|
| | | | | | |
| | | | Classified Boards | | | | | |
+
|
| | | |
| | | | Director Liability and Indemnification | | | | | | | | |
+
|
|
|
+
|
| | Disclose CEO Succession Plan | | |
+ |
| | | | | | |
| | | | Election of Directors | | |
+
|
| | | | | | |
| | | | Controlled Company Exemption | | | | | | | | |
+
|
|
| | | | Voting for Director Nominees in a Contested Election | | | | | | | | |
+
|
|
|
+
|
| | Independent Lead Director | | |
+
|
| | | | | | |
|
+
|
| | Limit Term of Directorship | | | | | | | | |
+
|
|
|
+ |
| | Majority of Independent Directors | | |
+
|
| | | | | | |
|
+
|
| | Majority of Independent Directors on Key Committees | | |
+
|
| | | | | | |
|
+ |
| | Majority Votes for Directors | | |
+
|
| | | | | | |
|
+
|
| | Removal of Directors Without Cause | | |
+
|
| | | | | | |
|
+
|
| | Require Independent Board Chairman | | | | | | | | |
+
|
|
|
+
|
| | Require Two Candidates for Each Board Seat | | | | | |
+ |
| | | |
| | | | Cross-Shareholding (Japan) | | | | | |
+ |
| | | |
|
Compensation Proposals |
| ||||||||||||
|
+
|
| | Elimination of Single Trigger Change-in-Control Agreements | | |
+
|
| | | | | | |
|
+
|
| | Pro Rata Vesting of Equity Compensation Awards-Change of Control | | | | | | | | |
+
|
|
|
+ |
| | Adopt Policies to Prohibit any Death Benefits to Senior Executives | | | | | |
+
|
| | | |
|
+
|
| | Advisory Vote to Ratify Directors’ Compensation | | |
+
|
| | | | | | |
|
+
|
| | Amend Executive Compensation Plan Tied to Performance (Bonus Banking) | | | | | |
+ |
| | | |
| | | | Approve Remuneration for Directors and Auditors | | | | | | | | |
+
|
|
| | | | Approve Remuneration Reports | | | | | | | | |
+ |
|
| | | | Approve Retirement Bonuses for Directors (Japan and South Korea) | | | | | | | | |
+
|
|
| | | | Approve Special Payments to Continuing Directors and Auditors (Japan) | | | | | | | | |
+
|
|
|
+
|
| | Disclose Executive and Director Pay | | | | | | | | |
+
|
|
|
+
|
| | Exclude Pension Income from Performance-Based Compensation | | |
+ |
| | | | | | |
| | | | Executive and Employee Compensation Plans | | | | | | | | |
+ |
|
|
+
|
| | Limit Dividend Payments to Executives | | | | | |
+
|
| | | |
|
+ |
| | Limit Executive Pay | | | | | | | | |
+
|
|
|
+
|
| | Mandatory Holding Periods | | | | | |
+
|
| | | |
|
+
|
| | Performance-Based Stock Option Plans | | | | | | | | |
+ |
|
|
+
|
| | Prohibit Relocation Benefits to Senior Executives | | | | | |
+
|
| | | |
|
+
|
| | Recovery of Performance-Based Compensation | | |
+
|
| | | | | | |
|
+
|
| | Submit Golden Parachutes/Severance Plans to a Shareholder Vote | | | | | |
+
|
| | | |
|
+
|
| | Submit Golden Parachutes/Severance Plans to a Shareholder Vote prior to their being Negotiated by Management | | | | | | | | |
+
|
|
|
+
|
| | Submit Survivor Benefit Compensation Plans to a Shareholder Vote | | |
+ |
| | | | | | |
|
Shareholder Proposal |
| | | | |
For |
| |
Against |
| |
Case-by- Case |
|
|
Capital Changes and Anti-Take Over
Proposals |
| ||||||||||||
|
+
|
| | Amend Exclusive Forum Bylaw | | | | | |
+
|
| | | |
| | | | Amend Net Operating Loss (“NOL”) Rights Plans | | |
+
|
| | | | | | |
| | | | Authorize Share Repurchase | | |
+
|
| | | | | | |
| | | | Blank Check Preferred Stock | | | | | |
+ |
| | | |
| | | | Corporate Restructurings, Merger Proposals and Spin-Offs | | | | | | | | |
+
|
|
| | | | Elimination of Preemptive Rights | | | | | | | | |
+ |
|
|
+
|
| | Expensing Stock Options | | |
+
|
| | | | | | |
| | | | Fair Price Provisions | | | | | | | | |
+
|
|
| | | | Increase Authorized Common Stock | | | | | | | | |
+
|
|
| | | | Issuance of Equity without Preemptive Rights | | |
+
|
| | | | | | |
| | | | Issuance of Stock with Unequal Voting Rights | | | | | | | | |
+
|
|
| | | | Net Long Position Requirement | | |
+ |
| | | | | | |
| | | | Reincorporation | | | | | | | | |
+
|
|
|
+
|
| | Reincorporation to Another jurisdiction to Permit Majority Voting or Other Changes in Corporate Governance | | | | | | | | |
+
|
|
| | | | Stock Splits | | |
+ |
| | | | | | |
|
+
|
| | Submit Company’s Shareholder Rights Plan to a Shareholder Vote | | |
+
|
| | | | | | |
| | | | Transferrable Stock Options | | | | | | | | |
+
|
|
|
Auditor Proposals |
| ||||||||||||
| | | | Appointment of Auditors | | |
+
|
| | | | | | |
| | | | Approval of Financial Statements | | |
+ |
| | | | | | |
| | | | Approval of Internal Statutory Auditors | | |
+ |
| | | | | | |
|
+
|
| | Limit Compensation Consultant Services | | | | | |
+ |
| | | |
| | | | Limitation of Liability of External Statutory Auditors (Japan) | | | | | | | | |
+
|
|
|
+
|
| | Separating Auditors and Consultants | | | | | | | | |
+
|
|
|
Shareholder Access & Voting
Proposals |
| ||||||||||||
|
+
|
| | A Shareholder’s Right to Call Special Meetings | | |
+
|
| | | | | | |
|
+ |
| | Adopt Cumulative Voting | | | | | | | | |
+
|
|
|
+
|
| | Adopt Cumulative Voting in Dual Shareholder Class Structures | | |
+
|
| | | | | | |
|
+ |
| | Early Disclosure of Voting Results | | | | | |
+
|
| | | |
|
+ |
| | Implement Confidential Voting | | |
+
|
| | | | | | |
| | | | Limiting a Shareholder’s Right to Call Special Meetings | | | | | |
+
|
| | | |
|
+ |
| | Permit a Shareholder’s Right to Act by Written Consent | | | | | | | | |
+ |
|
|
+
|
| | Proxy Access for Annual Meetings | | |
+ |
| | | | | | |
| | | | Reduce Meeting Notification from 21 Days to 14 Days (UK) | | |
+
|
| | | | | | |
|
+
|
| | Rotation of Locale for Annual Meeting | | | | | |
+
|
| | | |
|
+
|
| | Shareholder Proponent Engagement Process | | |
+ |
| | | | | | |
| | | | Supermajority Vote Requirements | | | | | |
+ |
| | | |
|
Environmental & Social, Disclosure
Proposals |
| ||||||||||||
|
+
|
| | Animal Welfare | | | | | | | | |
+
|
|
|
+
|
| | Climate Change | | | | | | | | |
+
|
|
|
+
|
| | Say on Climate | | | | | | | |
+ |
| |
|
+ |
| | Charitable Contributions | | | | | | | | |
+
|
|
|
+
|
| | Environmental Proposals | | | | | | | | |
+
|
|
|
+
|
| | Genetically Altered or Engineered Food and Pesticides | | | | | | | | |
+
|
|
|
+
|
| | Health Proposals | | | | | | | | |
+
|
|
|
Shareholder Proposal |
| | | | |
For |
| |
Against |
| |
Case-by- Case |
|
|
+
|
| | Pharmaceutical Pricing (US) | | | | | | | | |
+
|
|
|
+ |
| | Human Rights Policies and Reports | | | | | | | | |
+
|
|
|
+
|
| | Include Sustainability as a Performance Measure (SHP) | | | | | | | | |
+
|
|
|
+ |
| | Lobbying and Political Spending | | |
+
|
| | | | | | |
|
+
|
| | Other Business | | | | | |
+
|
| | | |
|
+
|
| | Reimbursement of Shareholder Expenses | | | | | |
+
|
| | | |
|
+
|
| | Sustainability Report | | | | | | | | |
+
|
|
|
+ |
| | Work Place: Diversity | | |
+
|
| | | | | | |
|
+
|
| | Work Place: Pay Disparity | | | | | | | | |
+ |
|
|
Name of Security |
| |
Date of Shareholder Meeting |
|
| 1. | | |
Is our proposed vote on all issues explicitly addressed by, and
consistent with our stated proxy voting policy?
If yes, stop here and sign below as no
further review is necessary. |
| |
☐
Yes ☐ No |
|
|
2. |
| |
Is our proposed vote on consistent with our
client’s recommended vote?
Leave
blank if not applicable; if yes, continue to question 3; if no, provide a
memo reflecting the guidelines provided below. |
| | ☐ Yes ☐ No | |
| 3. | | |
Is our proposed vote consistent with the views of Institutional
Shareholder Services?
Leave blank if not applicable.
|
| |
☐
Yes ☐ No |
|
| AB Conflicts Officer Approval (if necessary. Email approval is acceptable.): | | |
Prepared by: |
|
| I hereby confirm that the proxy voting decision referenced on this form is reasonable. | | | | |
| | | | Print Name: | |
| AB Conflicts Officer | | | Date: | |
| Date: | | | | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based * |
| |
Total
Assets* |
| ||||||
| James W. MacGregor | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 21 | | | |
$6,194 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 47 | | | |
$1,805 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 49 | | | |
$2,932 million |
| | | | 4 | | | |
$436 million |
|
| Erik A. Turenchalk | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 17 | | | |
$6,137 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 45 | | | |
$1,647 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 45 | | | |
$2,612 million |
| | | | 2 | | | |
$277 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Michael Liss | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 17 | | | |
$27,064,525,635 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$2,403,133,954 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$1,677,735,249 |
| | | | 0 | | | |
$0 |
|
| Nathan Rawlins | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 9 | | | |
$11,418,892,850 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$1,057,405,558 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 3 | | | |
$335,861,913 |
| | | | 0 | | | |
$0 |
|
| Kevin Toney | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 17 | | | |
$27,064,252,635 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$2,403,133,954 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$1,677,735,249 |
| | | | 0 | | | |
$0 |
|
| Brian Woglom | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 21 | | | |
$28,419,616,439 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$2,403,133,954 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 10 | | | |
$1,674,422,332 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ryan Cope | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$5,868,395,919 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$707,117,273 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$449,122,917 |
| | | | 0 | | | |
$0 |
|
| Jeff John | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$5,868,395,919 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$707,117,273 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$449,122,917 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed 1 |
| |
Total Assets 1 |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based 1 |
| |
Total Assets 1 |
| ||||||
| Mark Giambrone 3 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 7 | | | |
$3,733.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$170.5
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 29 | | | |
$5,317.2 million |
| | | | 0 | | | |
$0 |
|
| Brad Kinkelaar 4 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 3 | | | |
$784.0
million |
| | | | 1 | | | |
$87.7 million |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$151.4
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5 | | | |
$1,652.3 million |
| | | | 0 | | | |
$0 |
|
| Pranay Laharia | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 1 | | | |
$183.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$324.0
million |
| | | | 0 | | | |
$0 |
|
| Michael B. Nayfa 5 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 2 | | | |
$1,470.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,073.9 million |
| | | | 0 | | | |
$0 |
|
| Terry L. Pelzel 6 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 2 | | | |
$1,470.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5 | | | |
$1,299.8 million |
| | | | 0 | | | |
$0 |
|
| Brian F. Quinn | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 1 | | | |
$183.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$324.0
million |
| | | | 0 | | | |
$0 |
|
| Lewis Ropp 7 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 1 | | | |
$744.4
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$170.5
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 31 | | | |
$3,433.8 million |
| | | | 1 | | | |
$342.4 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Coleman Hubbard | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 1 | | | |
$291.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$38.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 8 | | | |
$297.3 million |
| | | | 0 | | | |
$0 |
|
| James S. McClure | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 1 | | | |
$291.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$38.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 8 | | | |
$297.3 million |
| | | | 0 | | | |
$0 |
|
| DJ Taylor | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 1 | | | |
$291.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$38.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 8 | | | |
$297.3 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| David T. Cohen | | | | | | | | | | | | | | | | | | | |
|
Registered
investment companies** |
| | | | 3 | | | |
$12,584,320,732 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$1,472,962,790 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 199 | | | |
$14,089,498,778 |
| | | | 4 | | | |
$997,972,161 |
|
| Mark E. Donovan | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 3 | | | |
$12,584,320,732 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$1,472,962,790 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 199 | | | |
$14,089,498,778 |
| | | | 4 | | | |
$997,972,161 |
|
| David J. Pyle | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 3 | | | |
$12,584,320,732 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$1,472,962,790 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 199 | | | |
$14,089,498,778 |
| | | | 4 | | | |
$997,972,161 |
|
| Joshua White | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 3 | | | |
$12,584,320,732 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$1,472,962,790 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 199 | | | |
$14,089,498,778 |
| | | | 4 | | | |
$997,972,161 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Tracy Chen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 16 | | | |
$4,764 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 48 | | | |
$10,932 million |
| | | | 2 | | | |
$347
million |
|
|
Other
accounts |
| | | | 64 | | | |
$21,441 million |
| | | | 13 | | | |
$7,128 million |
|
| Brian Kloss | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 16 | | | |
$4,764 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 48 | | | |
$10,932 million |
| | | | 2 | | | |
$347
million |
|
|
Other
accounts |
| | | | 64 | | | |
$21,441 million |
| | | | 13 | | | |
$7,128 million |
|
| Jack McIntyre | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 15 | | | |
$4,683 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 51 | | | |
$11,092 million |
| | | | 2 | | | |
$347
million |
|
|
Other
accounts |
| | | | 65 | | | |
$22,199 million |
| | | | 13 | | | |
$7,128 million |
|
| Anujeet Sareen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 15 | | | |
$4,683 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 51 | | | |
$11,092 million |
| | | | 2 | | | |
$347
million |
|
|
Other
accounts |
| | | | 65 | | | |
$22,199 million |
| | | | 13 | | | |
$7,128 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Joseph J. Kirby | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 6 | | | |
$4,661 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 3 | | | |
$57
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$12
million |
| | | | 0 | | | |
$0 |
|
| Henry F. Otto | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$5,717 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$234
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 44 | | | |
$1,801 million |
| | | | 2 | | | |
$956 million |
|
| Steven M. Tonkovich | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$5,717 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$234
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 44 | | | |
$1,801 million |
| | | | 2 | | | |
$956 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ravi Dabas | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 2 | | | |
$2.571 billion |
| | | | 1 | | | |
$1.606 billion |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$105.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 9 | | | |
$125.9 million |
| | | | 0 | | | |
$0 |
|
| Christopher J. Scarpa | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 2 | | | |
$2.571 billion |
| | | | 1 | | | |
$1.606 billion |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$105.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 9 | | | |
$125.9 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| David G. Herro | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 12 | | | |
$26.9 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 39 | | | |
$17.6 billion |
| | | | 5 | | | |
$994.6 million |
|
|
Other
accounts |
| | | | 24 | | | |
$4.6 billion |
| | | | 0 | | | |
$0 |
|
| Eric Liu | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 9 | | | |
$24.4 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 24 | | | |
$9.5 billion |
| | | | 3 | | | |
$271.4 million |
|
|
Other
accounts |
| | | | 16 | | | |
$2.5 billion |
| | | | 0 | | | |
$0 |
|
| Michael L. Manelli | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$23.9 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$1.9 billion |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$1.5 billion |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ash Shah | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 7 | | | |
$9,910.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$81.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Ronald Zibelli, Jr. | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 10 | | | |
$29,681.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$931.3
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
Sub-Adviser |
| |
Performance time
period 1 |
|
Invesco Advisers 2 | | | One-, Three- and Five-year performance against fund peer group. | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| William Montana | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 1 | | | |
$191.61 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$4.55
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Brian Tolles | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 1 | | | |
$191.61 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$4.55
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$2.35
million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Aziz V. Hamzaogullari | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 29 | | | |
$21,742,047,318 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 19 | | | |
$12,300,954,803 |
| | | | 3 | | | |
$604,658,390 |
|
|
Other
accounts |
| | | | 131 | | | |
$26,342,555,018 |
| | | | 1 | | | |
$337,214,212 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Filipe Benzinho | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 6 | | | |
$16.8 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$6.9 billion |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 29 | | | |
$5.7 billion |
| | | | 0 | | | |
$0 |
|
| Daniel Ling | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 6 | | | |
$16.8 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$6.9 billion |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 29 | | | |
$5.7 billion |
| | | | 0 | | | |
$0 |
|
Portfolio Manager |
| |
Benchmark(s) |
|
Filipe Benzinho | | | MSCI EAFE Index (net div) | |
Daniel Ling | | | MSCI EAFE Index (net div) | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
|
Jerry Cudzil |
| ||||||||||||||||||
|
Registered investment companies**
|
| | | | 29 | | | |
$89,825.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 31 | | | |
$19,678.0 million |
| | | | 10 | | | |
$3,441.5 million |
|
|
Other
accounts |
| | | | 191 | | | |
$47,550.7 million |
| | | | 6 | | | |
$3,012.2 million |
|
|
Ruben Hovhannisyan |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 28 | | | |
$89,145.4 million |
| | | | 0 | | | |
$0 |
|
|
Other pooled investment vehicles
|
| | | | 19 | | | |
$14,484.7 million |
| | | | 3 | | | |
$432.1
million |
|
|
Other accounts |
| | | | 175 | | | |
$42,527.9 million |
| | | | 6 | | | |
$3,012.2 million |
|
|
Stephen M. Kane |
| ||||||||||||||||||
|
Registered investment companies**
|
| | | | 30 | | | |
$89,547.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 23 | | | |
$15,581.0 million |
| | | | 3 | | | |
$432.1
million |
|
|
Other
accounts |
| | | | 179 | | | |
$44,391.7 million |
| | | | 9 | | | |
$3,967.5 million |
|
| Bryan T. Whalen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 29 | | | |
$91,611.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 32 | | | |
$17,440.5 million |
| | | | 6 | | | |
$518.8
million |
|
|
Other
accounts |
| | | | 222 | | | |
$58,734.7 million |
| | | | 11 | | | |
$6,479.0 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Brent Reeder | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 15 | | | |
$28,360,198,533 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| George D. Mussalli | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 3 | | | |
$313,445,054 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 13 | | | |
$10,136,698,948 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 55 | | | |
$8,220,121,136 |
| | | | 9 | | | |
$3,440,354,157 |
|
| Richard Tan | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 2 | | | |
$146,894,373 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$6,159,933,358 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 35 | | | |
$3,325,553,019 |
| | | | 4 | | | |
$862,303,504 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Wesley A. Johnston | | | | | | | | | | | | | | | | | | | |
|
Registered
investment companies** |
| | | | 2 | | | |
$2,369.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$965.7
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 258 | | | |
$8,835.8 million |
| | | | 12 | | | |
$525.2 million |
|
| Frank M. Sands | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 2 | | | |
$2,369.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$965.2
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 247 | | | |
$8,741.4 million |
| | | | 4 | | | |
$454.9 million |
|
| Thomas H. Trentman | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 2 | | | |
$2,369.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 10 | | | |
$977.6
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 264 | | | |
$9,836.2 million |
| | | | 13 | | | |
$629.0 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| R. Michael Creager | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 4 | | | |
$2,143.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$134.2
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 19 | | | |
$1,398.7 million |
| | | | 0 | | | |
$0 |
|
| Brett P. Hawkins | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 5 | | | |
$2,179.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 3 | | | |
$234.2
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 30 | | | |
$2,314.7 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John D. Linehan | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 17 | | | |
$33,508,232,164 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 33 | | | |
$20,407,973,878 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 13 | | | |
$2,258,363,445 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John D. Linehan | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 17 | | | |
$33,427,838,186 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 33 | | | |
$20,407,973,878 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 13 | | | |
$2,258,363,445 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Paul D. Greene II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$62,021,313,150 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 26 | | | |
$25,879,804,784 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5 | | | |
$1,691,822,103 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Brian W. H. Berghuis | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$41,961,724,885 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$10,634,064,670 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 3 | | | |
$397,885,615 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Richard N. Clattenburg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$14,002,029,326 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 3 | | | |
$10,441,274,830 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Colin McQueen |
| | | | | | | | | | | | | | | | | ||
|
Registered investment companies**
|
| | | | 2 | | | |
$10,227,599,008 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$10,411,566,088 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Raymond A. Mills | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 3 | | | |
$22,934,281,017 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$12,506,479,053 |
| | | | 1 | | | |
$170,099,005 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,370,231,354 |
| | | | 1 | | | |
$480,277,328 |
|
| Eric Moffett | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 4 | | | |
$6,659,551,416 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$7,342,488,118 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 2 | | | |
$226,394,794 |
| | | | 0 | | | |
$0 |
|
| Ernest C. Yeung | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 2 | | | |
$4,322,414,595 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$5,148,097,883 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Donald J. Kilbride | | | | | | | | | | | | | | | | | | | |
|
Registered
investment companies** |
| | | | 10 | | | |
$60,117,151,941 |
| | | | 2 | | | |
$49,762,777,880 |
|
|
Other
pooled investment vehicles |
| | | | 9 | | | |
$1,969,069,169 |
| | | | 3 | | | |
$1,837,231,379 |
|
|
Other
accounts |
| | | | 19 | | | |
$2,848,723,130 |
| | | | 3 | | | |
$637,689,612 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Timothy N. Manning | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$2,872,828,340 |
| | | | 1 | | | |
$1,076,719,339 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$2,421,675,946 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,552,874,420 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Edmond C. Griffin | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 3 | | | |
$938,332,169 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$716,562,205 |
| | | | 1 | | | |
$128,850,012 |
|
|
Other
accounts |
| | | | 15 | | | |
$1,270,295,841 |
| | | | 0 | | | |
$0 |
|
| Shaun F. Pedersen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 3 | | | |
$938,332,169 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$716,562,205 |
| | | | 1 | | | |
$128,850,012 |
|
|
Other
accounts |
| | | | 15 | | | |
$1,270,295,841 |
| | | | 0 | | | |
$0 |
|
| Danielle S. Williams | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 3 | | | |
$938,332,169 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$716,562,205 |
| | | | 1 | | | |
$128,850,012 |
|
|
Other
accounts |
| | | | 15 | | | |
$1,270,295,841 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Daniel J. Fitzpatrick | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$7,694,655,758 |
| | | | 1 | | | |
$7,626,059,113 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$824,698,145 |
| | | | 1 | | | |
$44,962,157 |
|
|
Other
accounts |
| | | | 7 | | | |
$2,279,426,143 |
| | | | 0 | | | |
$0 |
|
| Ranjit Ramachandran | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 6 | | | |
$1,408,035,884 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$542,596,352 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5 | | | |
$317,075,976 |
| | | | 0 | | | |
$0 |
|
Fund |
| |
Benchmark and/or Peer
Group
|
|
Equity Opportunities Fund | | | Russell 1000 Index | |
Fundamental Growth Fund | | |
Russell Midcap Growth Index
|
|
Small Cap Value Equity Fund | | | Russell 2500 Value Index | |
Small Cap Growth Equity Fund (portfolio managed by Mr. Fitzpatrick) | | | Russell 2000 Index | |
Small Cap Growth Equity Fund (portfolio managed by Mr. Ramachandran) | | | Russell 2000 Growth Index | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John L. Bellows | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 23 | | | |
$46,497,156,454 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 23 | | | |
$11,505,361,434 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 179 | | | |
$52,287,703,089 |
| | | | 4 | | | |
$2,194,198,144 |
|
| S. Kenneth Leech | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 97 | | | |
$124,795,939,330 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 310 | | | |
$66,076,853,306 |
| | | | 24 | | | |
$2,611,589,209 |
|
|
Other
accounts |
| | | | 642 | | | |
$178,267,457,299 |
| | | | 22 | | | |
$12,421,588,733 |
|
| Mark S. Lindbloom | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 28 | | | |
$51,672,259,965 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 30 | | | |
$13,287,612,532 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 199 | | | |
$57,527,804,652 |
| | | | 6 | | | |
$4,615,265,694 |
|
| Frederick R. Marki | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 27 | | | |
$49,062,800,737 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 25 | | | |
$12,476,212,509 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 187 | | | |
$55,499,463,329 |
| | | | 6 | | | |
$4,615,265,694 |
|
| Julien A. Scholnick | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 26 | | | |
$50,973,418,060 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 22 | | | |
$11,451,812,590 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 175 | | | |
$51,274,973,355 |
| | | | 4 | | | |
$2,194,198,144 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Richard D. Lee | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 8 | | | |
$3,265,939,153 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$1,838,882,199 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 218 | | | |
$8,619,301,938 |
| | | | 22 | | | |
$1,811,715,296 |
|
| Ethan J. Meyers | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 8 | | | |
$3,265,939,153 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$1,838,882,199 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 218 | | | |
$8,619,301,938 |
| | | | 22 | | | |
$1,811,715,296 |
|
| William D. Muggia | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 10 | | | |
$3,476,435,186 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 9 | | | |
$1,890,664,707 |
| | | | 1 | | | |
$30,043,066 |
|
|
Other
accounts |
| | | | 264 | | | |
$9,641,342,203 |
| | | | 25 | | | |
$2,351,860,431 |
|