Fund
Name
|
| |
Class
I
|
| |
Class
Y |
| |
Class
A
|
| |
Class
C |
|
MassMutual Clinton Limited Term Municipal Fund | | | MMZPX | | | MMZQX | | | MMJDX | | | | |
MassMutual Clinton Municipal Fund | | | MMZVX | | | MMZWX | | | MMZUX | | | | |
MassMutual Clinton Municipal Credit Opportunities Fund | | | MMJBX | | | MMJCX | | | MMJAX | | | | |
MassMutual Global Floating Rate Fund | | | BXFIX | | | BXFYX | | | BXFAX* | | | BXFCX | |
MassMutual Global Credit Income Opportunities Fund | | | BXITX | | | BXIYX | | | BXIAX* | | | BXICX | |
MassMutual Emerging Markets Debt Blended
Total Return Fund |
| | BXEIX | | | BXEYX | | | BXEAX* | | | BXECX | |
MassMutual Global Emerging Markets Equity Fund | | | BXQIX | | | BXQYX | | | BXQAX* | | | BXQCX | |
| | |
Page |
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-53 | | | |
| | | | B-54 | | | |
| | | | B-55 | | | |
| | | | B-65 | | | |
| | | | B-68 | | | |
| | | | B-73 | | | |
| | | | B-76 | | | |
| | | | B-76 | | | |
| | | | B-77 | | | |
| | | | B-78 | | | |
| | | | B-78 | | | |
| | | | B-78 | | | |
| | | | B-79 | | | |
| | | | B-81 | | | |
| | | | B-83 | | | |
| | | | B-84 | | | |
| | | | B-84 | | | |
| | | | B-85 | | | |
| | | | B-96 | | | |
| | | | B-97 | | | |
| | | | B-101 | | | |
| | | | B-111 | | |
| Nabil N. El‑Hage 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1958 Trustee of the Trust since 2021 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 2021 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 2021 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 2021 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 2021 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 2021 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 2021 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 2021 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 2021 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 | | | | | | | |
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 |
|
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
|
| | | $ | 3,096 | | | | | $ | 288,600 | | |
Nabil N. El-Hage |
| | | $ | 3,180 | | | | | $ | 296,400 | | |
Name of Trustee |
| |
Aggregate Compensation from the Trust |
| |
Total Compensation from the Trust and Fund Complex Paid to Trustees |
| ||||||
Michael R. Fanning 2
|
| | | $ | 0 | | | | | $ | 0 | | |
Maria D. Furman |
| | | $ | 2,901 | | | | | $ | 270,400 | | |
Paul
LaPiana 3
|
| | | $ | 0 | | | | | $ | 0 | | |
R.
Bradford Malt |
| | | $ | 2,901 | | | | | $ | 270,400 | | |
C.
Ann Merrifield |
| | | $ | 3,095 | | | | | $ | 288,600 | | |
Clifford M. Noreen |
| | | $ | 0 | | | | | $ | 0 | | |
Cynthia R. Plouché |
| | | $ | 2,901 | | | | | $ | 270,400 | | |
Jason J. Price |
| | | $ | 2,901 | | | | | $ | 270,400 | | |
Susan B. Sweeney |
| | | $ | 3,907 | | | | | $ | 490,150 | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 72.91% | | |
| | |
U.S. Bank N.A.
1555
North Rivercenter Drive, Suite 302
Milwaukee, WI 53212 |
| | | | 25.54% | | |
Class Y |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 30.57% | | |
| | |
UBS Financial Services
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 25.76% | | |
| | |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 12.04% | | |
| | |
Maril & Co.
c/o
Reliance Trust Company
201 17th
Street NW, Suite 1000
Atlanta,
GA 30363 |
| | | | 9.62% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 5.25% | | |
Class A |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 41.16% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 33.78% | | |
| | |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 8.81% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 7.74% | | |
Class C |
| |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 41.57% | | |
| | |
RBC Capital Markets, LLC
250
Nicollet Mall, Suite 1800
Minneapolis, MN 55401 |
| | | | 22.05% | | |
| | |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 18.95% | | |
| | |
UBS Financial Services
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 10.87% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
U.S. Bank N.A.
1555
North Rivercenter Drive, Suite 302
Milwaukee, WI 53212 |
| | | | 100.00% | | |
Class Y |
| |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 59.18% | | |
| | |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 18.07% | | |
Class A |
| |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 94.44% | | |
Class C |
| |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 76.72% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 10.07% | | |
| | |
UBS Financial Services
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 6.03% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Telecommunications
Cooperative Association
4121
Wilson Boulevard, Suite 1000
Arlington, VA 22203 |
| | | | 99.96% | | |
Class Y |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 43.26% | | |
| | |
Reliance Trust Company
201 17th
Street NW, Suite 1000
Atlanta,
GA 30363 |
| | | | 28.66% | | |
| | |
RBC Capital Markets, LLC
250
Nicollet Mall, Suite 1800
Minneapolis, MN 55401 |
| | | | 7.35% | | |
| | |
UBS Financial Services
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 7.17% | | |
| | |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 6.13% | | |
Class A |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 41.42% | | |
| | |
Charles Schwab & Co.,
Inc.
211 Main
Street
San
Francisco, CA 94105 |
| | | | 33.78% | | |
| | |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 12.58% | | |
Class C |
| |
Pershing LLC
P.O. Box
2052
Jersey
City, NJ 07399 |
| | | | 48.50% | | |
| | |
LPL Financial
4707
Executive Drive
San
Diego, CA 92121 |
| | | | 42.27% | | |
| | |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 9.23% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 100.00% | | |
Class Y |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 98.75% | | |
Class A |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 100.00% | | |
Class C |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 100.00% | | |
Fund |
| | | |
MM
Clinton Limited Term Municipal Fund |
| |
0.24% on the first $500 million;
and
0.23% on
assets over $500 million |
|
MM Clinton Municipal Fund | | |||
| | |
0.35% on the first $500 million;
and
0.34% on
assets over $500 million |
|
MM Clinton Municipal Credit Opportunities Fund | | |||
| | |
0.48% on the first $500 million;
and
0.47% on
assets over $500 million |
|
Fund |
| | | |
Global Floating Rate Fund |
| | 0.65% | |
Global Credit Income Opportunities Fund
|
| | 0.75% | |
Emerging Markets Debt Blended Total Return
Fund |
| | 0.75% | |
Global Emerging Markets Equity Fund
|
| | 0.90% | |
|
Global Floating Rate Fund |
| | 0.30% | |
|
Global Credit Income Opportunities Fund
|
| | 0.30% | |
| Emerging Markets Debt Blended Total Return Fund | | | 0.35% | |
|
Global Emerging Markets Equity
Fund |
| | 0.35% | |
| | |
Class I |
| |
Class Y |
| |
Class A |
| |
Class C |
| |||||||||
MM
Clinton Limited Term Municipal Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.10% | | | |
N/A |
|
MM
Clinton Municipal Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.10% | | | |
N/A |
|
MM
Clinton Municipal Credit Opportunities Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.10% | | | |
N/A |
|
Global Floating Rate Fund |
| | | | None | | | | | | 0.07% | | | | | | 0.04% | | | |
0.03% |
|
Global Credit Income Opportunities Fund
|
| | | | None | | | | | | 0.05% | | | | | | 0.06% | | | |
0.03% |
|
Emerging Markets Debt Blended Total Return
Fund |
| | | | None | | | | | | 0.06% | | | | | | 0.02% | | | |
None |
|
Global Emerging Markets Equity Fund
|
| | | | None | | | | | | 0.03% | | | | | | 0.02% | | | |
None |
|
| | |
Fiscal Year Ended
September 30, 2023 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Global Floating Rate Fund 1
|
| | | $ | 1,500,620 | | | | | $ | 615,842 | | | | | $ | — | | | | | $ | 108,960 | | | | | $ | (484,474) | | |
Global Credit Income
Opportunities
Fund2
|
| | | | 953,067 | | | | | | 356,387 | | | | | | — | | | | | | 66,924 | | | | | | (178,583) | | |
Emerging Markets Debt Blended
Total
Return Fund3
|
| | | | 385,692 | | | | | | 162,412 | | | | | | — | | | | | | 28,480 | | | | | | (92,815) | | |
Global Emerging Markets Equity
Fund 4
|
| | | | 91,202 | | | | | | 32,487 | | | | | | — | | | | | | 1,529 | | | | | | (132,107) | | |
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Global Floating Rate Fund 1
|
| | | $ | 2,127,187 | | | | | $ | 635,208 | | | | | $ | — | | | | | $ | 171,654 | | | | | $ | (483,915) | | |
Global Credit Income
Opportunities
Fund2
|
| | | | 868,497 | | | | | | 259,263 | | | | | | — | | | | | | 59,325 | | | | | | (270,801) | | |
Emerging Markets Debt Blended
Total
Return Fund3
|
| | | | 541,254 | | | | | | 160,780 | | | | | | — | | | | | | 40,154 | | | | | | (279,829) | | |
Global Emerging Markets Equity
Fund 4
|
| | | | 79,637 | | | | | | 19,817 | | | | | | — | | | | | | 1,337 | | | | | | (159,341) | | |
| | | | | | | | | |
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 |
| |||||||||||||||||||||
|
Global Floating Rate
Fund –
Class A1
|
| | | | 2023 | | | | | $ | 555 | | | | | $ | 463 | | | | | $ | 92 | | | | | | | | $ | 48 | | | | | $ | 0 | | | | | $ | 48 | | |
| | | | | | 2022 | | | | | $ | 27,510 | | | | | $ | 11,925 | | | | | $ | 15,585 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Emerging Markets Debt
Blended
Total Return Fund – Class A1
|
| | | | 2023 | | | | | $ | 800 | | | | | $ | 700 | | | | | $ | 100 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
|
Emerging Markets Debt
Blended
Total Return Fund – Class C1
|
| | | | 2023 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 246 | | | | | $ | 0 | | | | | $ | 246 | | |
| | | | | | 2022 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | | | | | | | $ | 176 | | | | | $ | 0 | | | | | $ | 176 | | |
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 |
| |
2.50% |
| |
2.56% |
| | | | 2.00% | | |
$25,000-$49,999 |
| |
2.25% |
| |
2.30% |
| | | | 1.75% | | |
$50,000-$99,999 |
| |
2.00% |
| |
2.04% |
| | | | 1.50% | | |
$100,000-$249,999 |
| |
1.75% |
| |
1.78% |
| | | | 1.25% | | |
$250,000-$499,999 1 | | |
None |
| |
None |
| | | | 1.00% | | |
$500,000-$999,999 1 | | |
None |
| |
None |
| | | | 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 |
| |
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 A 12b-1 Fees |
| |
Class C 12b-1 Fees |
| ||||||
|
Global Floating Rate Fund |
| | | $ | 69,386 | | | | | $ | 48,681 | | |
|
Global Credit Income Opportunities Fund
|
| | | | 163,088 | | | | | | 34,144 | | |
|
Emerging Markets Debt Blended Total Return
Fund |
| | | | 6,361 | | | | | | 4,327 | | |
|
Global Emerging Markets Equiy Fund
|
| | | | 249 | | | | | | 986 | | |
| | | | | $ | 239,084 | | | | | $ | 88,138 | | |
| | |
Fiscal Year ended September 30, 2023 |
| |
Fiscal Year ended September 30, 2022 |
| ||||||
Global Credit Income Opportunities
Fund 1
|
| | | $ | 136 | | | | | $ | 353 | | |
Emerging Markets Debt Blended Total Return
Fund 1
|
| | | $ | 1,600 | | | | | $ | 990 | | |
Global Emerging Markets Equity
Fund 1
|
| | | $ | 2,205 | | | | | $ | 2,664 | | |
|
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 |
| |||||||||||||||||||||||||||
|
Global Floating
Rate
Fund |
| | | $ | 107 | | | | | $ | 10 | | | |
$— |
| | | $ | — | | | | | $ | — | | | | | $ | 40 | | | | | $ | — | | | | | $ | 50 | | | | | $ | 57 | | | |||
|
Global Credit
Income Opportunities Fund |
| | | $ | 72,019 | | | | | $ | 1,722 | | | | | $ | 452 | | | | | $ | — | | | | | $ | — | | | | | $ | 60,084 | | | | | $ | — | | | | | $ | 62,259 | | | | | $ | 9,760 | | |
|
Emerging Markets
Debt
Blended Total Return Fund |
| | | $ | 10,199 | | | | | $ | 107 | | | | | $ | 64 | | | | | $ | — | | | | | $ | — | | | | | $ | 9,422 | | | | | $ | — | | | | | $ | 9,593 | | | | | $ | 606 | | |
|
Global Emerging
Markets Equity Fund |
| | | $ | 278 | | | | | $ | 2 | | | | | $ | 2 | | | | | $ | — | | | | | $ | — | | | | | $ | 261 | | | | | $ | — | | | | | $ | 265 | | | | | $ | 13 | | |
|
Description/Requirement |
| |
Barings
Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| The Compliance review and any approvals needed by GCC of Policy, proxy activity, and approval of Proxy Voting Forms | | | Compliance and GCC meeting materials | | | Proxy Voting Team and Compliance | | | GCC Representative | | |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy statements, research, recommendations, and records of votes cast | | | Proxy Records | | | Service Provider or Proxy Voting Team | | | Service Provider or Proxy Voting Team | | |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy Voting Forms (including supporting documentation used in deciding how to vote) | | | Proxy Voting Forms | | | Proxy Voting Team and/or Proxy Analyst | | |
Proxy Voting Team |
| |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
|
Description/Requirement |
| |
Barings
Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| Client written requests for proxy voting information and responses thereto | | | Client Proxy Requests | | | Proxy Voting Team | | |
Proxy Voting Team |
| |
7
Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Form N-PX, for proxies voted on behalf of an investment company for which Barings serves as investment adviser and is responsible for making such filing on behalf of its Clients | | | Form N-PX | | | Proxy Voting Team | | |
Legal Department |
| |
7
Years |
| | Barings Policy requirement and Investment
Advisers Act of 1940, Rule 206(4)‑6 for Barings US regulated Advisers
Rule 30b1‑4 |
|
| The Proxy Voting Policy, associated procedures and any amendments thereto | | |
Proxy Voting Policy |
| | Compliance Department | | | Compliance Department | | |
7
Years |
| |
Barings Policy requirement |
|
| A copy of the Research Provider’s proxy voting guidelines | | | Research Provider’s Proxy Voting Guidelines | | | Research Provider | | |
Proxy Voting Team |
| |
7
Years |
| |
Barings Policy requirement |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Andrew Clinton | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1,018 | | | |
$2,072 million |
| | | | 0 | | | |
$0 |
|
| Mark Steffen | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1,018 | | | |
$2,072 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Andrew Clinton | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1,018 | | | |
$2,072 million |
| | | | 0 | | | |
$0 |
|
| Mark Steffen | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1,018 | | | |
$2,072 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Andrew Clinton | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1,018 | | | |
$2,072 million |
| | | | 0 | | | |
$0 |
|
| Mark Steffen | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1,018 | | | |
$2,072 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Sean Feeley | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 10 | | | |
$1,539 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$3,382 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 23 | | | |
$4,006 million |
| | | | 0 | | | |
$0 |
|
| Oliver Harker-Smith | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 28 | | | |
$13,781 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5 | | | |
$1,094 million |
| | | | 0 | | | |
$0 |
|
| Casey McKinney | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 1 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$6,230 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 19 | | | |
$3,016 million |
| | | | 0 | | | |
$0 |
|
| Brian Pacheco | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 1 | | | |
$128
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$3,470 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 3 | | | |
$801
million |
| | | | 0 | | | |
$0 |
|
| Chris Sawyer | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$128
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 12 | | | |
$11,352 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 10 | | | |
$1,664 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Chris Ellis | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 3 | | | |
$993
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$1,328 million |
| | | | 0 | | | |
$0 |
|
| Sean Feeley | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 10 | | | |
$1,599 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$3,382 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 23 | | | |
$4,006 million |
| | | | 0 | | | |
$0 |
|
|
Omotunde Lawal |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$339
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$204
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 17 | | | |
$2,897 million |
| | | | 0 | | | |
$0 |
|
|
Brian Pacheco |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 1 | | | |
$188
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$3,470 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 3 | | | |
$801
million |
| | | | 0 | | | |
$0 |
|
|
Scott Roth |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$841
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 12 | | | |
$5,076 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 26 | | | |
$4,749 million |
| | | | 0 | | | |
$0 |
|
|
Chris Sawyer |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$188
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 12 | | | |
$11,352 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 10 | | | |
$1,664 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ricardo Adrogué | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$207
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$6,043 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 27 | | | |
$5,053 million |
| | | | 0 | | | |
$0 |
|
| Cem Karacadag | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$153
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$5,551 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 31 | | | |
$5,750 million |
| | | | 0 | | | |
$0 |
|
|
Natalia Krol |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$492
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$161
million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Isabelle Irish | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$709
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1 | | | |
$0.756 million |
| | | | 0 | | | |
$0 |
|
| Michael Levy | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$483
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1 | | | |
$0.756 million |
| | | | 0 | | | |
$0 |
|
|
William Palmer |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$483
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1 | | | |
$0.756 million |
| | | | 0 | | | |
$0 |
|