|
Class
A |
Class
C |
Class
I |
Class
R3 |
Class
R4 |
Class
R5 |
Class
R6 |
Class
Y |
Class
F |
The
Hartford Balanced Income Fund |
HBLAX |
HBLCX |
HBLIX |
HBLRX |
HBLSX |
HBLTX |
HBLVX |
HBLYX |
HBLFX |
Hartford
AARP Balanced Retirement Fund |
HAFAX |
HAICX |
HAFIX |
HAFRX |
HAFSX |
HAFTX |
HAFVX |
HAFYX |
HAFDX |
The
Hartford Capital Appreciation Fund |
ITHAX |
HCACX |
ITHIX |
ITHRX |
ITHSX |
ITHTX |
ITHVX |
HCAYX |
HCAFX |
The
Hartford Checks and Balances Fund |
HCKAX |
HCKCX |
HCKIX |
HCKRX |
HCKSX |
HCKTX |
— |
— |
HCKFX |
Hartford
Climate Opportunities Fund |
HEOMX |
HEONX |
HEOIX |
HEORX |
HEOSX |
HEOTX |
HEOVX |
HEOYX |
HEOFX |
The
Hartford Conservative Allocation Fund
|
HCVAX |
HCVCX |
HCVIX |
HCVRX |
HCVSX |
HCVTX |
N/A |
N/A |
HCVFX |
Hartford
Core Equity Fund |
HAIAX |
HGICX |
HGIIX |
HGIRX |
HGISX |
HGITX |
HAITX |
HGIYX |
HGIFX |
The
Hartford Dividend and Growth Fund |
IHGIX |
HDGCX |
HDGIX |
HDGRX |
HDGSX |
HDGTX |
HDGVX |
HDGYX |
HDGFX |
Hartford
Dynamic Bond Fund |
HDBAX |
HDBCX |
HDBIX |
— |
— |
HDBRX |
HDBSX |
HDBYX |
HDBFX |
Hartford
Emerging Markets Equity Fund |
HERAX |
HERCX |
HERIX |
HERRX |
HERSX |
HERTX |
HERVX |
HERYX |
HERFX |
The
Hartford Emerging Markets Local Debt
Fund |
HLDAX |
HLDCX |
HLDIX |
HLDRX |
HLDSX |
HLDTX |
— |
HLDYX |
HLDFX |
The
Hartford Equity Income Fund |
HQIAX |
HQICX |
HQIIX |
HQIRX |
HQISX |
HQITX |
HQIVX |
HQIYX |
HQIFX |
The
Hartford Floating Rate Fund |
HFLAX |
HFLCX |
HFLIX |
HFLRX |
HFLSX |
HFLTX |
— |
HFLYX |
HFLFX |
Hartford
Global Impact Fund |
HGXAX |
HGXCX |
HGXIX |
HGXRX |
HGXSX |
HGXTX |
HGXVX |
HGXYX |
HGXFX |
The
Hartford Growth Allocation Fund |
HRAAX |
HRACX |
HRAIX |
HRARX |
HRASX |
HRATX |
— |
— |
HRAFX |
The
Hartford Healthcare Fund |
HGHAX |
HGHCX |
HGHIX |
HGHRX |
HGHSX |
HGHTX |
HGHVX |
HGHYX |
HGHFX |
The
Hartford High Yield Fund |
HAHAX |
HAHCX |
HAHIX |
HAHRX |
HAHSX |
HAHTX |
HAHVX |
HAHYX |
HAHFX |
The
Hartford Inflation Plus Fund |
HIPAX |
HIPCX |
HIPIX |
HIPRX |
HIPSX |
HIPTX |
— |
HIPYX |
HIPFX |
Hartford
International Equity Fund |
HDVAX |
HDVCX |
HDVIX |
HDVRX |
HDVSX |
HDVTX |
HDVVX |
HDVYX |
HDVFX |
The
Hartford International Growth Fund |
HNCAX |
HNCCX |
HNCJX |
HNCRX |
HNCSX |
HNCTX |
HNCUX |
HNCYX |
HNCFX |
The
Hartford International Opportunities
Fund |
IHOAX |
HIOCX |
IHOIX |
IHORX |
IHOSX |
IHOTX |
IHOVX |
HAOYX |
IHOFX |
The
Hartford International Value Fund |
HILAX |
HILCX |
HILIX |
HILRX |
HILSX |
HILTX |
HILUX |
HILYX |
HILDX |
Hartford
Low Duration High Income Fund*
|
HFHAX |
HFHCX |
HFHIX |
HFHRX |
HFHSX |
HFHTX |
— |
HFHYX |
HFHFX |
The
Hartford MidCap Fund |
HFMCX |
HMDCX |
HFMIX |
HFMRX |
HFMSX |
HFMTX |
HFMVX |
HMDYX |
HMDFX |
The
Hartford MidCap Value Fund |
HMVAX |
HMVCX |
HMVJX |
HMVRX |
HMVSX |
HMVTX |
HMVUX |
HMVYX |
HMVFX |
Hartford
Moderate Allocation Fund |
HBAAX |
HBACX |
HBAIX |
HBARX |
HBASX |
HBATX |
— |
— |
HBADX |
Hartford
Multi-Asset Income Fund |
ITTAX |
HAFCX |
ITTIX |
ITTRX |
ITTSX |
ITTTX |
ITTVX |
IHAYX |
ITTFX |
The
Hartford Municipal Opportunities Fund |
HHMAX |
HHMCX |
HHMIX |
— |
— |
— |
— |
HHMYX |
HHMFX |
Hartford
Municipal Short Duration Fund |
HMJAX |
HMJCX |
HMJIX |
— |
— |
— |
— |
— |
HMJFX |
Hartford
Real Asset Fund |
HRLAX |
HRLCX |
HRLIX |
HRLRX |
HRLSX |
HRLTX |
HRLZX |
HRLYX |
HRLFX |
The
Hartford Short Duration Fund |
HSDAX |
HSDCX |
HSDIX |
HSDRX |
HSDSX |
HSDTX |
HSDVX |
HSDYX |
HSDFX |
Hartford
Small Cap Value Fund |
HSMAX |
HTSCX |
HSEIX |
HSMRX |
HSMSX |
HSMTX |
HSMVX |
HSMYX |
HSMFX |
The
Hartford Small Company Fund |
IHSAX |
HSMCX |
IHSIX |
IHSRX |
IHSSX |
IHSUX |
IHSVX |
HSCYX |
IHSFX |
The
Hartford Strategic Income Fund |
HSNAX |
HSNCX |
HSNIX |
HSNRX |
HSNSX |
HSNTX |
HSNVX |
HSNYX |
HSNFX |
Hartford
Sustainable Municipal Bond Fund |
HMKAX |
HMKCX |
HMKIX |
— |
— |
— |
— |
— |
HMKFX |
The
Hartford Total Return Bond Fund |
ITBAX |
HABCX |
ITBIX |
ITBRX |
ITBUX |
ITBTX |
ITBVX |
HABYX |
ITBFX |
The
Hartford World Bond Fund |
HWDAX |
HWDCX |
HWDIX |
HWDRX |
HWDSX |
HWDTX |
HWDVX |
HWDYX |
HWDFX |
|
Class
A |
Class
C |
Class
I |
Class
R3 |
Class
R4 |
Class
R5 |
Class
R6 |
Class
Y |
Class
F |
The
Hartford Growth Opportunities Fund |
HGOAX |
HGOCX |
HGOIX |
HGORX |
HGOSX |
HGOTX |
HGOVX |
HGOYX |
HGOFX |
The
Hartford Small Cap Growth Fund |
HSLAX |
HSLCX |
HSLIX |
HSLRX |
HSLSX |
HSLTX |
HSLVX |
HSLYX |
HSLFX |
FUND |
COMMENCEMENT
OF
OPERATIONS |
The
Hartford Balanced Income Fund (“Balanced Income
Fund”) |
July
31, 2006 |
Hartford
AARP Balanced Retirement Fund (“Balanced Retirement
Fund”) |
April
30, 2014 |
The
Hartford Capital Appreciation Fund (“Capital Appreciation
Fund”) |
July
22, 1996 |
The
Hartford Checks and Balances Fund (“Checks and Balances
Fund”) |
May
31, 2007 |
Hartford
Climate Opportunities Fund (“Climate Opportunities
Fund”) |
February
29, 2016 |
The
Hartford Conservative Allocation Fund (“Conservative Allocation
Fund”) |
May
28, 2004 |
Hartford
Core Equity Fund (“Core Equity Fund”) |
April
30, 1998 |
The
Hartford Dividend and Growth Fund (“Dividend and Growth
Fund”) |
July
22, 1996 |
Hartford
Dynamic Bond Fund (“Dynamic Bond Fund”) |
June
7, 2022 |
Hartford
Emerging Markets Equity Fund (“Emerging Markets Equity
Fund”) |
May
31, 2011 |
The
Hartford Emerging Markets Local Debt Fund (“Emerging Markets Local Debt
Fund”) |
May
31, 2011 |
The
Hartford Equity Income Fund (“Equity Income Fund”) |
August
28, 2003 |
The
Hartford Floating Rate Fund (“Floating Rate Fund”) |
April
29, 2005 |
Hartford
Global Impact Fund (“Global Impact Fund”) |
February
28, 2017 |
The
Hartford Growth Allocation Fund (“Growth Allocation
Fund”) |
May
28, 2004 |
The
Hartford Growth Opportunities Fund (“Growth Opportunities
Fund”) |
March
31, 1963 |
The
Hartford Healthcare Fund (“Healthcare Fund”) |
May
1, 2000 |
The
Hartford High Yield Fund (“High Yield Fund”) |
September
30, 1998 |
The
Hartford Inflation Plus Fund (“Inflation Plus Fund”) |
October
31, 2002 |
Hartford
International Equity Fund (“International Equity
Fund”) |
June
30, 2008 |
The
Hartford International Growth Fund (“International Growth
Fund”) |
April
30, 2001 |
The
Hartford International Opportunities Fund (“International Opportunities
Fund”) |
July
22, 1996 |
The
Hartford International Value Fund (“International Value
Fund”) |
May
28, 2010 |
Hartford
Low Duration High Income Fund (“Low Duration High Income
Fund”) |
September
30, 2011 |
The
Hartford MidCap Fund (“MidCap Fund”) |
December
31, 1997 |
The
Hartford MidCap Value Fund (“MidCap Value Fund”) |
April
30, 2001 |
Hartford
Moderate Allocation Fund (“Moderate Allocation
Fund”) |
May
28, 2004 |
Hartford
Multi-Asset Income Fund (“Multi-Asset Income Fund”) |
July
22, 1996 |
The
Hartford Municipal Opportunities Fund (“Municipal Opportunities
Fund”) |
May
31, 2007 |
Hartford
Municipal Short Duration Fund (“Municipal Short Duration
Fund”) |
May
29, 2015 |
Hartford
Real Asset Fund (“Real Asset Fund”) |
May
28, 2010 |
The
Hartford Short Duration Fund (“Short Duration Fund”) |
October
31, 2002 |
The
Hartford Small Cap Growth Fund (“Small Cap Growth
Fund”) |
January
4, 1988 |
Hartford
Small Cap Value Fund (“Small Cap Value Fund”) |
January
1, 2005 |
The
Hartford Small Company Fund (“Small Company Fund”) |
July
22, 1996 |
The
Hartford Strategic Income Fund (“Strategic Income
Fund”) |
May
31, 2007 |
Hartford
Sustainable Municipal Bond Fund (“Sustainable Municipal Bond
Fund”) |
May
29, 2015 |
The
Hartford Total Return Bond Fund (“Total Return Bond
Fund”) |
July
22, 1996 |
The
Hartford World Bond Fund (“World Bond Fund”) |
May
31, 2011 |
Registered
Funds | |
Balanced
Retirement Fund |
Strategic
Income Fund |
Emerging
Markets Local Debt Fund |
Total Return
Bond Fund |
Multi-Asset
Income Fund |
World Bond
Fund |
Real Asset
Fund |
|
|
Balanced
Income Fund |
Balanced
Retirement Fund |
Capital
Appreciation Fund |
Climate
Opportunities Fund |
Core
Equity Fund |
Dividend
and Growth Fund |
Dynamic
Bond Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Local Debt Fund |
Equity
Income Fund |
Floating
Rate Fund |
Global
Impact Fund |
Growth
Opportunities Fund |
Healthcare
Fund |
High
Yield Fund |
International
Equity Fund |
Inflation
Plus Fund |
International
Growth Fund |
Active
Investment Manage-
ment
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Active
Trading Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Asset
Allocation Risk |
X |
X |
X |
|
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
Asset-Backed
Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Collateralized
Debt Obliga-
tions
(CDOs) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Asset
Coverage Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Bond
Forwards Risk |
X |
X |
|
X |
|
|
X |
|
X |
|
X |
X |
|
|
X |
|
X |
|
Borrowing
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Call
Risk |
X |
X |
|
X |
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Climate
Change Investment
Focus
Risk |
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Commodities
Regulatory
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Commodities
Related
Investments
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Convertible
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Contingent
Convertibles
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Synthetic
Convertibles
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Counterparty
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk Transfer Securi-
ties
Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Currency
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Cybersecurity
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Depositary
Receipts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Derivatives
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Hedging
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Options
Contracts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Linked Notes Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Futures
Contracts and
Options
on Futures
Contracts
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Swap
Agreements and
Swaptions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation-Linked
Instru-
ments
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Hybrid
Instruments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit-Linked
Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Indexed
Securities and
Structured
Notes Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Event-Linked
Bonds Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Foreign
Currency Transac-
tions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
P-Notes
and Non-Standard
Warrants
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risk
Factors in Derivative
Instruments |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Dividend
Risk |
X |
X |
X |
X |
X |
X |
|
X |
|
X |
|
X |
X |
X |
X |
X |
|
X |
Dollar
Rolls Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Balanced
Income Fund |
Balanced
Retirement Fund |
Capital
Appreciation Fund |
Climate
Opportunities Fund |
Core
Equity Fund |
Dividend
and Growth Fund |
Dynamic
Bond Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Local Debt Fund |
Equity
Income Fund |
Floating
Rate Fund |
Global
Impact Fund |
Growth
Opportunities Fund |
Healthcare
Fund |
High
Yield Fund |
International
Equity Fund |
Inflation
Plus Fund |
International
Growth Fund |
Special
Purpose Acquisi-
tion
Companies Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
ESG
Integration Risk |
X |
X |
X |
|
X |
X |
X |
X |
X |
X |
X |
|
X |
X |
X |
X |
X |
X |
Exchange-Traded
Funds
(ETFs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Semi-Transparent
ETF
Structure
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Exchange-Traded
Notes
(ETNs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Event
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Fixed
Income Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Focused
Portfolio Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
Foreign
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Currency
Risk and
Exchange
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Principal
Exchange Rate
Linked
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Performance
Indexed
Paper
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Settlement
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Fund
of Funds Structure
Risks |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Government
Intervention in
Financial
Markets Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Growth
Investing Style Risk |
|
|
X |
|
|
|
|
|
|
|
|
X |
X |
|
|
X |
|
X |
Healthcare-Related
Securi-
ties
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
High
Yield Investments
(“Junk
Bonds”) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Distressed
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Illiquid
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Impact
Investing Risk |
|
|
|
X |
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
Industry
Concentration Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
Inflation
Protected Debt
Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Initial
Public Offerings
(“IPO”)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Interest
Rate Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Interfund
Lending Program
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inverse
Floating Rate
Securities
Risk |
X |
X |
|
|
|
|
|
|
X |
|
X |
|
|
|
|
|
X |
|
Investment
Grade Securi-
ties
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in a Subsidiary
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Investments
in Emerging
Market
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sukuk
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Large
Cap Securities Risk |
X |
X |
X |
X |
X |
X |
|
X |
X |
X |
|
X |
X |
X |
|
X |
|
X |
Large
Shareholder Transac-
tion
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
LIBOR
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Liquidation
of Funds Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Loans
and Loan Participa-
tions
Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Floating
Rate Loans Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Loan
Participations Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Senior
Loans Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Unsecured
Loans Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
|
Balanced
Income Fund |
Balanced
Retirement Fund |
Capital
Appreciation Fund |
Climate
Opportunities Fund |
Core
Equity Fund |
Dividend
and Growth Fund |
Dynamic
Bond Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Local Debt Fund |
Equity
Income Fund |
Floating
Rate Fund |
Global
Impact Fund |
Growth
Opportunities Fund |
Healthcare
Fund |
High
Yield Fund |
International
Equity Fund |
Inflation
Plus Fund |
International
Growth Fund |
Delayed
Settlement Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Market
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Master
Limited Partnership
(“MLP”)
Risk |
X |
X |
X |
|
|
|
|
X |
X |
|
X |
|
X |
|
X |
X |
X |
|
Mid
Cap Securities Risk |
X |
X |
X |
X |
X |
X |
|
X |
|
X |
|
X |
X |
X |
|
X |
|
X |
Money
Market Instruments
and
Temporary Investment
Strategies
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Mortgage-Related
Securi-
ties
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Multi-Manager
Risk |
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Municipal
Securities Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
X |
|
Natural
Resources Industry
Concentration
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
New
Fund Risk |
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
Non-Diversification
Risk |
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
Operational
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Capital Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Investment
Companies
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Passive
Investment
Management
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Preferred
Stock Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Placement Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Investments in
Public
Equity (PIPEs) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Quantitative
Investing Risk |
|
X |
X |
|
X |
|
X |
X |
|
|
|
|
X |
|
|
X |
X |
|
Real
Estate Investment
Trusts
(“REITs”) Risk
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Real
Estate Related Securi-
ties
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Regional/Country
Focus
Risk |
|
|
|
X |
|
|
X
|
X |
X |
|
|
X |
|
|
|
X |
|
X |
Investments
in Central
and
South America Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in Europe
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in Asia Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in China Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in Japan Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in Russia
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Repurchase
and Reverse
Repurchase
Agreements
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Restricted
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risks
of Qualified Financial
Contracts |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Consumer
Discretionary
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Communication
Services
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Health
Care Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Financials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Industrials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Information
Technology
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Utilities
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Securities
Lending Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Securities
Trusts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Balanced
Income Fund |
Balanced
Retirement Fund |
Capital
Appreciation Fund |
Climate
Opportunities Fund |
Core
Equity Fund |
Dividend
and Growth Fund |
Dynamic
Bond Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Local Debt Fund |
Equity
Income Fund |
Floating
Rate Fund |
Global
Impact Fund |
Growth
Opportunities Fund |
Healthcare
Fund |
High
Yield Fund |
International
Equity Fund |
Inflation
Plus Fund |
International
Growth Fund |
Small
Capitalization Securi-
ties
Risk |
X |
X |
X |
X |
X |
X |
|
X |
|
X |
X |
X |
X |
X |
X |
X |
|
X |
Sovereign
Debt Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Stripped
Securities Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
X |
|
|
|
Structured
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sustainable
Investing Risk |
|
|
|
X |
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
Taxable
Income Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
To
Be Announced (TBA)
Transactions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Short
Sales of TBA Invest-
ments
Risk |
X |
X |
|
|
|
|
X |
|
X |
|
X |
X |
|
|
X |
|
X |
|
Use
as an Underlying Fund
Risk |
X |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
U.S.
Government Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Valuation
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Value
Investing Style Risk |
X |
|
X |
|
|
X |
|
|
|
X |
|
|
|
|
|
X |
|
|
Volatility
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Warrants
and Rights Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Zero
Coupon Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
International
Opportunities Fund |
International
Value Fund |
Low
Duration High Income Fund |
MidCap
Fund |
MidCap
Value Fund |
Multi-Asset
Income Fund |
Municipal
Opportunities Fund |
Municipal
Short Duration Fund |
Real
Asset Fund |
Short
Duration Fund |
Small
Cap Growth Fund |
Small
Cap Value Fund |
Small
Company Fund |
Strategic
Income Fund |
Sustainable
Municipal Bond Fund |
Total
Return Bond Fund |
World
Bond Fund |
Active
Investment Management
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Active
Trading Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Asset
Allocation Risk |
|
|
|
|
|
X |
|
|
X |
|
|
|
|
|
|
|
|
Asset-Backed
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Collateralized
Debt Obligations
(CDOs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Asset
Coverage Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Bond
Forwards Risk |
|
|
X |
|
|
X |
X |
X |
X |
X |
|
|
|
X |
X |
X |
X |
Borrowing
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Call
Risk |
|
|
X |
|
|
X |
X |
X |
X |
X |
|
|
|
X |
X |
X |
X |
Climate
Change Investment Focus
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Commodities
Regulatory Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Commodities
Related Investments
Risk |
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
Convertible
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Contingent
Convertibles Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Synthetic
Convertibles Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Counterparty
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk Transfer Securities
Risk |
|
|
X |
|
|
X |
X |
X |
X |
X |
|
|
|
X |
X |
X |
X |
Currency
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Cybersecurity
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Depositary
Receipts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
International
Opportunities Fund |
International
Value Fund |
Low
Duration High Income Fund |
MidCap
Fund |
MidCap
Value Fund |
Multi-Asset
Income Fund |
Municipal
Opportunities Fund |
Municipal
Short Duration Fund |
Real
Asset Fund |
Short
Duration Fund |
Small
Cap Growth Fund |
Small
Cap Value Fund |
Small
Company Fund |
Strategic
Income Fund |
Sustainable
Municipal Bond Fund |
Total
Return Bond Fund |
World
Bond Fund |
Derivatives
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Hedging
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Options
Contracts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Linked Notes Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Futures
Contracts and Options
on
Futures Contracts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Swap
Agreements and Swaptions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation-Linked
Instruments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Hybrid
Instruments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit-Linked
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Indexed
Securities and
Structured
Notes Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Event-Linked
Bonds Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Foreign
Currency Transactions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
P-Notes
and Non-Standard War-
rants
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risk
Factors in Derivative Instru-
ments |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Dividend
Risk |
X |
X |
|
X |
X |
X |
|
|
|
|
X |
X |
|
|
|
|
|
Dollar
Rolls Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
|
X |
X |
X |
X |
|
X |
X |
Special
Purpose Acquisition
Companies
Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
|
X |
X |
X |
X |
|
X |
X |
ESG
Integration Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
X |
X |
Exchange-Traded
Funds (ETFs) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Semi-Transparent
ETF Structure
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Exchange-Traded
Notes (ETNs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Event
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Fixed
Income Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Focused
Portfolio Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Foreign
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Currency
Risk and Exchange Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Principal
Exchange Rate Linked
Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Performance
Indexed Paper Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Settlement
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Fund
of Funds Structure Risks |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Government
Intervention in
Financial
Markets Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Growth
Investing Style Risk |
|
|
|
X |
|
|
|
|
X |
|
X |
|
X |
|
|
|
|
Healthcare-Related
Securities Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
High
Yield Investments (“Junk
Bonds”)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Distressed
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Illiquid
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Impact
Investing Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Industry
Concentration Risk |
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
Inflation
Protected Debt Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Initial
Public Offerings (“IPO”) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Interest
Rate Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Interfund
Lending Program Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inverse
Floating Rate Securities
Risk |
|
|
X |
|
|
X |
X |
X |
X |
X |
|
|
|
X |
X |
X |
X |
Investment
Grade Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in a Subsidiary Risk |
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
International
Opportunities Fund |
International
Value Fund |
Low
Duration High Income Fund |
MidCap
Fund |
MidCap
Value Fund |
Multi-Asset
Income Fund |
Municipal
Opportunities Fund |
Municipal
Short Duration Fund |
Real
Asset Fund |
Short
Duration Fund |
Small
Cap Growth Fund |
Small
Cap Value Fund |
Small
Company Fund |
Strategic
Income Fund |
Sustainable
Municipal Bond Fund |
Total
Return Bond Fund |
World
Bond Fund |
Investments
in Emerging Market
Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sukuk
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Large
Cap Securities Risk |
X |
X |
|
X |
X |
X |
|
|
X |
|
X |
X |
X |
|
|
|
|
Large
Shareholder Transaction
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
LIBOR
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Liquidation
of Funds Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Loans
and Loan Participations
Risk |
|
|
X |
|
|
X |
|
|
X |
X |
|
|
|
X |
|
X |
X |
Floating
Rate Loans Risk |
|
|
X |
|
|
X |
|
|
X |
X |
|
|
|
X |
|
X |
X |
Loan
Participations Risk |
|
|
X |
|
|
X |
|
|
X |
X |
|
|
|
X |
|
X |
X |
Senior
Loans Risk |
|
|
X |
|
|
X |
|
|
X |
X |
|
|
|
X |
|
X |
X |
Unsecured
Loans Risk |
|
|
X |
|
|
X |
|
|
X |
X |
|
|
|
X |
|
X |
X |
Delayed
Settlement Risk |
|
|
X |
|
|
X |
|
|
X |
X |
|
|
|
X |
|
X |
X |
Market
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Master
Limited Partnership
(“MLP”)
Risk |
|
|
X |
|
|
X |
|
|
X |
X |
|
|
X |
X |
|
X |
X |
Mid
Cap Securities Risk |
X |
X |
|
X |
X |
X |
|
|
X |
|
X |
X |
X |
|
|
|
|
Money
Market Instruments and
Temporary
Investment Strategies
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Mortgage-Related
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Multi-Manager
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Municipal
Securities Risk |
|
|
X |
|
|
X |
X |
X |
X |
X |
|
|
|
X |
X |
X |
X |
Natural
Resources Industry
Concentration
Risk |
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
New
Fund Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Non-Diversification
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
Operational
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Capital Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Investment Companies Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Passive
Investment Management
Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Preferred
Stock Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Placement Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Investments in Public
Equity
(PIPEs) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Quantitative
Investing Risk |
|
|
X |
|
|
X |
|
|
|
|
X |
|
|
X |
|
X |
X |
Real
Estate Investment Trusts
(“REITs”)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Real
Estate Related Securities
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Regional/Country
Focus Risk |
X |
X |
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
X |
Investments
in Central and
South
America Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
X |
X |
X |
X |
X |
|
X |
X |
Investments
in Europe Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
X |
X |
X |
X |
X |
|
X |
X |
Investments
in Asia Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
X |
X |
X |
X |
X |
|
X |
X |
Investments
in China Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
X |
X |
X |
X |
X |
|
X |
X |
Investments
in Japan Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
X |
X |
X |
X |
X |
|
X |
X |
Investments
in Russia Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
X |
X |
X |
X |
X |
|
X |
X |
Repurchase
and Reverse
Repurchase
Agreements Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Restricted
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risks
of Qualified Financial
Contracts |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Consumer
Discretionary Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Communication
Services Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Health
Care Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
International
Opportunities Fund |
International
Value Fund |
Low
Duration High Income Fund |
MidCap
Fund |
MidCap
Value Fund |
Multi-Asset
Income Fund |
Municipal
Opportunities Fund |
Municipal
Short Duration Fund |
Real
Asset Fund |
Short
Duration Fund |
Small
Cap Growth Fund |
Small
Cap Value Fund |
Small
Company Fund |
Strategic
Income Fund |
Sustainable
Municipal Bond Fund |
Total
Return Bond Fund |
World
Bond Fund |
Financials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Industrials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Information
Technology Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Utilities
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Securities
Lending Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Securities
Trusts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Small
Capitalization Securities
Risk |
X |
X |
X |
X |
X |
X |
|
|
X |
X |
X |
X |
X |
X |
|
X |
X |
Sovereign
Debt Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Stripped
Securities Risk |
|
|
X |
|
|
X |
X |
X |
X |
X |
|
|
|
X |
X |
X |
X |
Structured
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sustainable
Investing Risk |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
Taxable
Income Risk |
|
|
|
|
|
|
X |
X |
|
|
|
|
|
|
X |
|
|
To
Be Announced (TBA) Transac-
tions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Short
Sales of TBA Investments
Risk |
|
|
X |
|
|
X |
X |
X |
X |
X |
|
|
|
X |
X |
X |
X |
Use
as an Underlying Fund Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
U.S.
Government Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Valuation
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Value
Investing Style Risk |
|
X |
|
|
X |
|
|
|
|
|
|
X |
|
|
|
|
|
Volatility
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Warrants
and Rights Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Zero
Coupon Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Checks
and Balances Fund |
Conservative
Allocation Fund |
Growth
Allocation Fund |
Moderate
Allocation Fund |
Active
Investment Management Risk
|
|
X |
X |
X |
Active
Trading Risk |
X |
X |
X |
X |
Asset
Allocation Risk |
X |
X |
X |
X |
Asset-Backed
Securities Risk |
X |
X |
X |
X |
Collateralized
Debt Obligations (CDOs) Risk |
X |
X |
X |
X |
Asset
Coverage Risk |
X |
X |
X |
X |
Bond
Forwards Risk |
X |
X |
X |
X |
Borrowing
Risk |
X |
X |
X |
X |
Call
Risk |
X |
X |
X |
X |
Climate
Change Investment Focus Risk |
|
X |
X |
X |
Commodities
Regulatory Risk |
X |
X |
X |
X |
Commodities
Related Investments Risk |
|
X |
X |
X |
Convertible
Securities Risk |
X |
X |
X |
X |
Contingent
Convertibles Risk |
X |
X |
X |
X |
Synthetic
Convertibles Risk |
X |
X |
X |
X |
Counterparty
Risk |
X |
X |
X |
X |
Credit
Risk |
X |
X |
X |
X |
Credit
Risk Transfer Securities Risk |
X |
X |
X |
X |
Currency
Risk |
X |
X |
X |
X |
Cybersecurity
Risk |
X |
X |
X |
X |
Depositary
Receipts Risk |
X |
X |
X |
X |
Derivatives
Risk |
X |
X |
X |
X |
Hedging
Risk |
X |
X |
X |
X |
Options
Contracts Risk |
X |
X |
X |
X |
Equity
Linked Notes Risk |
|
X |
X |
X |
Futures
Contracts and Options on Futures Contracts Risk |
X |
X |
X |
X |
Swap
Agreements and Swaptions Risk |
X |
X |
X |
X |
Inflation-Linked
Instruments Risk |
X |
X |
X |
X |
Hybrid
Instruments Risk |
X |
X |
X |
X |
|
Checks
and Balances Fund |
Conservative
Allocation Fund |
Growth
Allocation Fund |
Moderate
Allocation Fund |
Credit-Linked
Securities Risk |
X |
X |
X |
X |
Indexed
Securities and Structured Notes Risk |
X |
X |
X |
X |
Event-Linked
Bonds Risk |
X |
X |
X |
X |
Foreign
Currency Transactions Risk |
X |
X |
X |
X |
P-Notes
and Non-Standard Warrants Risk |
X |
X |
X |
X |
Risk
Factors in Derivative Instruments |
X |
X |
X |
X |
Dividend
Risk |
X |
X |
X |
X |
Dollar
Rolls Risk |
X |
X |
X |
X |
Equity
Risk |
X |
X |
X |
X |
Special
Purpose Acquisition Companies Risk |
X |
X |
X |
X |
ESG
Integration Risk |
X |
X |
X |
X |
Exchange-Traded
Funds (ETFs) Risk |
X |
X |
X |
X |
Semi-Transparent
ETF Structure Risk |
|
X |
X |
X |
Exchange-Traded
Notes (ETNs) Risk |
X |
X |
X |
X |
Event
Risk |
X |
X |
X |
X |
Fixed
Income Securities Risk |
X |
X |
X |
X |
Focused
Portfolio Risk |
|
X |
X |
X |
Foreign
Investments Risk |
X |
X |
X |
X |
Currency
Risk and Exchange Risk |
X |
X |
X |
X |
Principal
Exchange Rate Linked Securities Risk |
X |
X |
X |
X |
Performance
Indexed Paper Risk |
X |
X |
X |
X |
Settlement
Risk |
X |
X |
X |
X |
Fund
of Funds Structure Risks |
X |
X |
X |
X |
Government
Intervention in Financial Markets Risk |
X |
X |
X |
X |
Growth
Investing Style Risk |
X |
X |
X |
X |
Healthcare-Related
Securities Risk |
X |
X |
X |
X |
High
Yield Investments (“Junk Bonds”) Risk |
X |
X |
X |
X |
Distressed
Securities Risk |
X |
X |
X |
X |
Illiquid
Investments Risk |
X |
X |
X |
X |
Impact
Investing Risk |
|
X |
X |
X |
Industry
Concentration Risk |
|
X |
X |
X |
Inflation
Protected Debt Securities Risk |
X |
X |
X |
X |
Inflation
Risk |
X |
X |
X |
X |
Initial
Public Offerings (“IPO”) Risk |
X |
X |
X |
X |
Interest
Rate Risk |
X |
X |
X |
X |
Interfund
Lending Program Risk |
X |
X |
X |
X |
Inverse
Floating Rate Securities Risk |
X |
X |
X |
X |
Investment
Grade Securities Risk |
X |
X |
X |
X |
Investments
in a Subsidiary Risk |
|
X |
X |
X |
Investments
in Emerging Market Securities Risk |
X |
X |
X |
X |
Sukuk
Risk |
X |
X |
X |
X |
Large
Cap Securities Risk |
X |
X |
X |
X |
Large
Shareholder Transaction Risk |
X |
X |
X |
X |
LIBOR
Risk |
X |
X |
X |
X |
Liquidation
of Funds Risk |
X |
X |
X |
X |
Loans
and Loan Participations Risk |
X |
X |
X |
X |
Floating
Rate Loans Risk |
X |
X |
X |
X |
Loan
Participations Risk |
X |
X |
X |
X |
Senior
Loans Risk |
X |
X |
X |
X |
Unsecured
Loans Risk |
X |
X |
X |
X |
Delayed
Settlement Risk |
X |
X |
X |
X |
Market
Risk |
X |
X |
X |
X |
Master
Limited Partnership (“MLP”) Risk |
X |
X |
X |
X |
Mid
Cap Securities Risk |
X |
X |
X |
X |
Money
Market Instruments and Temporary Investment Strategies
Risk |
X |
X |
X |
X |
Mortgage-Related
Securities Risk |
X |
X |
X |
X |
Municipal
Securities Risk |
X |
X |
X |
X |
Natural
Resources Industry Concentration Risk |
|
X |
X |
X |
New
Fund Risk |
|
X |
X |
X |
Non-Diversification
Risk |
|
X |
X |
X |
Operational
Risks |
X |
X |
X |
X |
Other
Capital Securities Risk |
X |
X |
X |
X |
Other
Investment Companies Risk |
X |
X |
X |
X |
Passive
Investment Management Risk |
X |
|
|
|
Preferred
Stock Risk |
X |
X |
X |
X |
Private
Placement Risk |
X |
X |
X |
X |
Private
Investments in Public Equity (PIPEs) Risk |
X |
X |
X |
X |
|
Checks
and Balances Fund |
Conservative
Allocation Fund |
Growth
Allocation Fund |
Moderate
Allocation Fund |
Quantitative
Investing Risk |
X |
X |
X |
X |
Real
Estate Investment Trusts (“REITs”) Risk
|
X |
X |
X |
X |
Real
Estate Related Securities Risk |
X |
X |
X |
X |
Regional/Country
Focus Risk |
|
X |
X |
X |
Investments
in Central and South America Risk |
X |
X |
X |
X |
Investments
in Europe Risk |
X |
X |
X |
X |
Investments
in Asia Risk |
X |
X |
X |
X |
Investments
in China Risk |
X |
X |
X |
X |
Investments
in Japan Risk |
X |
X |
X |
X |
Investments
in Russia Risk |
X |
X |
X |
X |
Repurchase
and Reverse Repurchase Agreements Risk |
X |
X |
X |
X |
Restricted
Securities Risk |
X |
X |
X |
X |
Risks
of Qualified Financial Contracts |
X |
X |
X |
X |
Sector
Risk |
X |
X |
X |
X |
Consumer
Discretionary Sector Risk |
X |
X |
X |
X |
Communication
Services Sector Risk |
X |
X |
X |
X |
Health
Care Sector Risk |
X |
X |
X |
X |
Financials
Sector Risk |
X |
X |
X |
X |
Industrials
Sector Risk |
X |
X |
X |
X |
Information
Technology Sector Risk |
X |
X |
X |
X |
Utilities
Sector Risk |
X |
X |
X |
X |
Securities
Lending Risk |
X |
X |
X |
X |
Securities
Trusts Risk |
X |
X |
X |
X |
Small
Capitalization Securities Risk |
X |
X |
X |
X |
Sovereign
Debt Risk |
X |
X |
X |
X |
Stripped
Securities Risk |
X |
X |
X |
X |
Structured
Securities Risk |
X |
X |
X |
X |
Sustainable
Investing Risk |
|
X |
X |
X |
Taxable
Income Risk |
X |
X |
X |
X |
To
Be Announced (TBA) Transactions Risk |
X |
X |
X |
X |
Short
Sales of TBA Securities Risk |
X |
X |
X |
X |
Use
as an Underlying Fund Risk |
|
|
|
|
U.S.
Government Securities Risk |
X |
X |
X |
X |
Valuation
Risk |
X |
X |
X |
X |
Value
Investing Style Risk |
X |
X |
X |
X |
Volatility
Risk |
X |
X |
X |
X |
Warrants
and Rights Risk |
X |
X |
X |
X |
Zero
Coupon Securities Risk |
X |
X |
X |
X |
Fund |
Portfolio
Turnover
10/31/2023 |
Portfolio
Turnover
10/31/2022 |
Balanced
Income Fund |
57% |
60% |
Balanced
Retirement Fund |
20% |
52% |
Capital
Appreciation Fund |
62% |
82% |
Checks
and Balances Fund |
9% |
15% |
Climate
Opportunities Fund |
75% |
71% |
Conservative
Allocation Fund |
19% |
50% |
Core
Equity Fund |
19% |
15% |
Dividend
and Growth Fund |
26% |
18% |
Dynamic
Bond Fund |
792%(1)
|
380%(2)
|
Emerging
Markets Equity Fund |
93% |
79% |
Emerging
Markets Local Debt Fund |
102% |
90% |
Equity
Income Fund |
39% |
42% |
Floating
Rate Fund |
46% |
53% |
Global
Impact Fund |
34% |
31% |
Growth
Allocation Fund |
25% |
45% |
Growth
Opportunities Fund |
88% |
95% |
Healthcare
Fund |
32% |
33% |
High
Yield Fund |
26% |
49% |
Inflation
Plus Fund |
35%(3)
|
57%(3)
|
International
Equity Fund |
23% |
27% |
International
Growth Fund |
20% |
30% |
International
Opportunities Fund |
68% |
95% |
International
Value Fund |
25% |
32% |
Low
Duration High Income Fund |
58% |
70% |
MidCap
Fund |
35% |
44% |
MidCap
Value Fund |
84% |
85% |
Moderate
Allocation Fund |
22% |
50% |
Multi-Asset
Income Fund |
65%(4)
|
59%(4)
|
Municipal
Opportunities Fund |
26% |
46% |
Municipal
Short Duration Fund |
24% |
29% |
Real
Asset Fund |
171% |
206% |
Short
Duration Fund |
27% |
22%(5)
|
Small
Cap Growth Fund |
53% |
42% |
Small
Cap Value Fund |
52% |
59% |
Small
Company Fund |
48% |
90% |
Strategic
Income Fund |
75%(6)
|
61%(6)
|
Sustainable
Municipal Bond Fund |
31% |
37% |
Total
Return Bond Fund |
59%(7)
|
61%(7)
|
World
Bond Fund |
82%(8)
|
85%(8)
|
NAME,
YEAR OF
BIRTH
AND
ADDRESS*
|
POSITION
HELD
WITH
EACH
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
HILARY
E.
ACKERMANN
(1956) |
Director |
Since
2014 |
Ms.
Ackermann served as Chief Risk Officer at
Goldman
Sachs Bank USA from October 2008 to
November
2011. |
83 |
Ms.
Ackermann
served
as a
Director
of Dynegy,
Inc.
from October
2012
until its
acquisition
by
Vistra
Energy
Corporation
(“Vistra”)
in 2018,
and
since that time
she
has served as
a
Director of Vistra.
Ms.
Ackermann
served
as a
Director
of Credit
Suisse
Holdings
(USA),
Inc. from
January
2017 to
December
2022. |
ROBIN
C. BEERY
(1967) |
Director |
Since
2017 |
Ms.
Beery has served as a consultant to ArrowMark
Partners
(an alternative asset manager) since March
of
2015 and since November 2018 has been
employed
by ArrowMark Partners as a Senior Advisor.
Previously,
she was Executive Vice President, Head of
Distribution,
for Janus Capital Group, and Chief
Executive
Officer and President of the Janus Mutual
Funds
(a global asset manager) from September
2009
to August 2014. |
83 |
Ms.
Beery serves
as
an independent
Director
of UMB
Financial
Corporation
(January
2015 to
present),
has
chaired
the
Compensation
Committee
since
April
2017, and
has
been a
member
of the
Compensation
Committee
and the
Risk
Committee
since
January
2015.
|
DERRICK
D.
CEPHAS
(1952) |
Director |
Since
2020 |
Mr.
Cephas currently serves as Of Counsel to Squire
Patton
Boggs LLP, an international law firm with 45
offices
in 20 countries. Until his retirement in October
2020,
Mr. Cephas was a Partner of Weil, Gotshal &
Manges
LLP, an international law firm headquartered
in
New York, where he served as the Head of the
Financial
Institutions Practice (April 2011 to October
2020). |
83 |
Mr.
Cephas
currently
serves as
a
Director of Claros
Mortgage
Trust,
Inc.,
a real estate
investment
trust
and
is a member of
the
Compensation
Committee
and the
Nominating
and
Governance
Committee. |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
EACH
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
CHRISTINE
R.
DETRICK
(1958) |
Director
and
Chair
of the
Board |
Director
since
2016;
Chair
of the
Board
since
2021 |
From
2002 until 2012, Ms. Detrick was a Senior
Partner,
Leader of the Financial Services Practice, and
a
Senior Advisor at Bain & Company (“Bain”). Before
joining
Bain, she served in various senior
management
roles for other financial services firms
and
was a consultant at McKinsey and Company. |
83 |
Ms.
Detrick
currently
serves as
a
Director of
Charles
River
Associates
(May
2020
to present);
currently
serves as
a
Director of
Capital
One
Financial
Corporation
(since
November
2021);
and
currently
serves
as a
Director
and Chair
of
Altus Power, Inc.
(since
December
2021). |
JOHN
J.
GAUTHIER
(1961) |
Director |
Since
2022 |
Mr.
Gauthier currently is the Principal Owner of JJG
Advisory,
LLC, an investment consulting firm, and Co-
Founder
and Principal Owner of Talcott Capital
Partners
(a placement agent for investment managers
serving
insurance companies). From 2008 to 2018,
Mr.
Gauthier served as a Senior Vice President (2008-
2010),
Executive Vice President (2010-2012), and
President
(2012-2018) of Allied World Assurance,
LTD,
AG (a global provider of property, casualty and
specialty
insurance and reinsurance solutions). |
83 |
Mr.
Gauthier
serves
as a
Director
of
Reinsurance
Group
of
America, Inc.
(from
2018 to
present);
currently
serves
as a
Director
of
Hamilton
Insurance
Group,
Ltd.
(October
2023 to
present);
and
chairs
the
Investment
Committee
and is
a
member of the
Audit
and Risk
Committees. |
ANDREW
A.
JOHNSON
(1962) |
Director |
Since
2020 |
Mr.
Johnson currently serves as a Diversity and
Inclusion
Advisor at Neuberger Berman, a private,
global
investment management firm. Prior to his
current
role, Mr. Johnson served as Chief Investment
Officer
and Head of Global Investment Grade Fixed
Income
at Neuberger Berman (January 2009 to
December
2018).
|
83 |
Mr.
Johnson
currently
serves as
a
Director of AGNC
Investment
Corp.,
a
real estate
investment
trust. |
PAUL
L.
ROSENBERG
(1953) |
Director |
Since
2020 |
Mr.
Rosenberg is a Partner of The Bridgespan Group,
a
global nonprofit consulting firm that is a social
impact
advisor to nonprofits, non-governmental
organizations,
philanthropists and institutional
investors
(October 2007 to present).
|
83 |
None |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
EACH
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
DAVID
SUNG
(1953) |
Director |
Since
2017 |
Mr.
Sung was a Partner at Ernst & Young LLP from
October
1995 to July 2014. |
83 |
Mr.
Sung serves as
a
Trustee of
Ironwood
Institutional
Multi-
Strategy
Fund, LLC
and
Ironwood
Multi-Strategy
Fund,
LLC (October
2015
to present). |
NAME,
YEAR OF
BIRTH
AND
ADDRESS*
|
POSITION
HELD
WITH
EACH
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
HELD
BY
DIRECTOR |
JAMES
E.
DAVEY****
(1964) |
Director,
President
and
Chief
Executive
Officer |
President
and
Chief
Executive
Officer
since
2010;
Director
since
2012 |
Mr.
Davey serves as Executive Vice President of The
Hartford
Financial Services Group, Inc. Mr. Davey has
served
in various positions within The Hartford and its
subsidiaries
and joined The Hartford in 2002.
Additionally,
Mr. Davey serves as Director, Chairman,
President,
and Senior Managing Director for Hartford
Funds
Management Group, Inc. ("HFMG"). Mr. Davey
also
serves as President, Manager, Chairman of the
Board,
and Senior Managing Director for Hartford
Funds
Management Company, LLC (“HFMC”);
Manager,
Chairman of the Board, and President of
Lattice
Strategies LLC (“Lattice”); Chairman of the
Board,
Manager, and Senior Managing Director of
Hartford
Funds Distributors, LLC (“HFD”); and
Chairman
of the Board, President and Senior
Managing
Director of Hartford Administrative Services
Company
(“HASCO”), each of which is an affiliate of
HFMG. |
83 |
None |
AMY
N. FURLONG
(1979) |
Vice
President
|
Since
2018 |
Ms.
Furlong serves as Vice President and Assistant
Treasurer
of HFMC (since September 2019). From
2018
through March 15, 2021, Ms. Furlong served as
the
Treasurer of each Company and resumed her
position
as Treasurer from January 9, 2023 through
September
10, 2023. Ms. Furlong has served in
various
positions within The Hartford and its
subsidiaries
in connection with the operation of the
Hartford
Funds. Ms. Furlong joined The Hartford in
2004. |
N/A |
N/A |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
EACH
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
HELD
BY
DIRECTOR |
WALTER
F.
GARGER
(1965) |
Vice
President
and
Chief
Legal
Officer |
Since
2016 |
Mr.
Garger serves as Secretary, Managing Director
and
General Counsel of HFMG, HFMC, HFD, and
HASCO
(since 2013). Mr. Garger also serves as
Secretary
and General Counsel of Lattice (since July
2016).
Mr. Garger has served in various positions
within
The Hartford and its subsidiaries in connection
with
the operation of the Hartford Funds. Mr. Garger
joined
The Hartford in 1995. |
N/A |
N/A |
THEODORE
J.
LUCAS
(1966) |
Vice
President |
Since
2017 |
Mr.
Lucas serves as Executive Vice President of
HFMG
(since July 2016) and as Executive Vice
President
of Lattice (since June 2017). Previously, Mr.
Lucas
served as Managing Partner of Lattice (2003 to
2016). |
N/A |
N/A |
JOSEPH
G.
MELCHER
(1973) |
Vice
President,
Chief
Compliance
Officer
and
AML
Compliance
Officer |
Vice
President
and
Chief
Compliance
Officer
since
2013;
AML
Compliance
Officer
since
August
1,
2022
|
Mr.
Melcher serves as Executive Vice President of
HFMG
and HASCO (since December 2013). Mr.
Melcher
also serves as Executive Vice President
(since
December 2013) and Chief Compliance Officer
(since
December 2012) of HFMC, serves as Executive
Vice
President and Chief Compliance Officer of Lattice
(since
July 2016), serves as Executive Vice President
of
HFD (since December 2013), and has served as
President
and Chief Executive Officer of HFD (from
April
2018 to June 2019). |
N/A |
N/A |
VERNON
J.
MEYER
(1964) |
Vice
President |
Since
2006 |
Mr.
Meyer serves as Managing Director and Chief
Investment
Officer of HFMC and Managing Director of
HFMG
(since 2013). Mr. Meyer also serves as Senior
Vice
President-Investments of Lattice (since March
2019).
Mr. Meyer has served in various positions
within
The Hartford and its subsidiaries in connection
with
the operation of the Hartford Funds. Mr. Meyer
joined
The Hartford in 2004. |
N/A |
N/A |
ALICE
A.
PELLEGRINO
(1960) |
Vice
President
and
Assistant
Secretary |
Since
2016 |
Ms.
Pellegrino is Deputy General Counsel for HFMG
(since
April 2022) and currently serves as Vice
President
of HFMG (since December 2013). Ms.
Pellegrino
also serves as Vice President and
Assistant
Secretary of Lattice (since June 2017). Ms.
Pellegrino
has served in various positions within The
Hartford
and its subsidiaries in connection with the
operation
of the Hartford Funds. Ms. Pellegrino joined
The
Hartford in 2007. |
N/A |
N/A |
ANKIT
PURI
(1984) |
Vice
President
and
Treasurer |
Effective
September
11,
2023 |
Effective
September 11, 2023, Mr. Puri serves as
Vice
President and Treasurer of each Company. Prior
to
joining HFMC in 2023, Mr. Puri was a Fund
Accounting
Director, Investment Management
Services,
at SEI Investments (July 2021 through
August
2023), an Associate Director, Fund Accounting
Policy
at The Vanguard Group (September 2020 to
June
2021), and served in various positions at Ernst
&
Young LLP (October 2014 through September
2020).
|
N/A |
N/A |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
EACH
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
HELD
BY
DIRECTOR |
THOMAS
R.
PHILLIPS
(1960) |
Vice
President
and
Secretary |
Since
2017 |
Mr.
Phillips is Deputy General Counsel for HFMG and
currently
serves as a Senior Vice President (since
June
2021) and Assistant Secretary (since June
2017)
for HFMG. Mr. Phillips also serves as Vice
President
of HFMC (since June 2021). Prior to joining
HFMG
in 2017, Mr. Phillips was a Director and Chief
Legal
Officer of Saturna Capital Corporation from
2014–2016.
Prior to that, Mr. Phillips was a Partner
and
Deputy General Counsel of Lord, Abbett & Co.
LLC. |
N/A |
N/A |
NAME
OF DIRECTOR |
FUNDS |
DOLLAR
RANGE OF EQUITY
SECURITIES
IN THE FUND |
AGGREGATE
DOLLAR RANGE OF EQUITY
SECURITIES
IN ALL REGISTERED
INVESTMENT
COMPANIES OVERSEEN
BY
DIRECTOR IN FAMILY OF INVESTMENT
COMPANIES |
Hilary
E. Ackermann |
None |
None |
Over
$100,000 |
|
|
|
|
Robin
C. Beery |
Core
Equity Fund |
$10,001-$50,000 |
Over
$100,000 |
|
International
Value Fund |
Over
$100,000 |
|
NAME
OF DIRECTOR |
FUNDS |
DOLLAR
RANGE OF EQUITY
SECURITIES
IN THE FUND |
AGGREGATE
DOLLAR RANGE OF EQUITY
SECURITIES
IN ALL REGISTERED
INVESTMENT
COMPANIES OVERSEEN
BY
DIRECTOR IN FAMILY OF INVESTMENT
COMPANIES |
|
MidCap
Fund |
$10,001-$50,000 |
|
|
|
|
|
Derrick
D. Cephas |
None |
None |
None |
|
|
|
|
Christine
R. Detrick |
Core
Equity Fund |
Over
$100,000 |
Over
$100,000 |
|
Global
Impact Fund |
Over
$100,000 |
|
|
MidCap
Fund |
Over
$100,000 |
|
|
|
|
|
John
J. Gauthier |
Dynamic
Bond Fund |
Over
$100,000 |
Over
$100,000 |
|
Low Duration
High Income Fund |
Over
$100,000 |
|
|
|
|
|
Andrew
A. Johnson |
None |
None |
None |
|
|
|
|
Paul
L. Rosenberg |
Equity
Income Fund |
$10,001-$50,000 |
$10,001-$50,000 |
|
|
|
|
David
Sung |
None |
None |
None |
NAME
OF DIRECTOR |
FUNDS |
DOLLAR
RANGE OF EQUITY
SECURITIES
IN THE FUND |
AGGREGATE
DOLLAR RANGE OF EQUITY
SECURITIES
IN ALL REGISTERED
INVESTMENT
COMPANIES OVERSEEN
BY
DIRECTOR IN FAMILY OF INVESTMENT
COMPANIES |
James
E. Davey |
Climate
Opportunities Fund |
Over
$100,000 |
Over
$100,000 |
|
Core Equity
Fund |
Over
$100,000 |
|
|
Global
Impact Fund |
$50,001-$100,000 |
|
|
International
Opportunities
Fund |
$10,001-$50,000 |
|
|
MidCap
Fund |
$50,001-$100,000 |
|
NAME
OF PERSON, POSITION |
AGGREGATE
COMPENSATION
FROM
THE
HARTFORD
MUTUAL
FUNDS,
INC. |
AGGREGATE
COMPENSATION
FROM
THE
HARTFORD
MUTUAL
FUNDS II,
INC. |
PENSION
OR
RETIREMENT
BENEFITS
ACCRUED
AS
PART
OF FUND
EXPENSES |
ESTIMATED
ANNUAL
BENEFITS
UPON
RETIREMENT |
TOTAL
COMPENSATION
FROM
THE
FUND
COMPLEX
PAID
TO
DIRECTORS |
Hilary
E. Ackermann, Director |
$242,749 |
$54,522 |
$0 |
$0 |
$361,292 |
Robin
C. Beery, Director |
$242,749 |
$54,522 |
$0 |
$0 |
$361,292 |
Derrick
D. Cephas, Director |
$209,653 |
$47,116 |
$0 |
$0 |
$312,292 |
Christine
R. Detrick, Director |
$347,368 |
$78,029 |
$0 |
$0 |
$516,292 |
John
J. Gauthier, Director |
$212,375 |
$47,698 |
$0 |
$0 |
$316,292 |
Andrew
A. Johnson, Director |
$242,749 |
$54,522 |
$0 |
$0 |
$361,292 |
Paul
L. Rosenberg, Director |
$212,375 |
$47,698 |
$0 |
$0 |
$316,292 |
David
Sung, Director |
$242,749 |
$54,522 |
$0 |
$0 |
$361,292 |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.9000% |
Next
$500 million |
0.8500% |
Amount
Over $1 billion |
0.8000% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.7500% |
Next
$500 million |
0.7000% |
Amount
Over $1 billion |
0.6900% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.6200% |
Next
$500 million |
0.6000% |
Next
$1.5 billion |
0.5800% |
Next
$2.5 billion |
0.5750% |
Amount
Over $5 billion |
0.5700% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.7950% |
Next
$500 million |
0.7600% |
Next
$1.5 billion |
0.7300% |
Next
$2.5 billion |
0.7000% |
Amount
Over $5 billion |
0.6600% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.9000% |
Next
$500 million |
0.8500% |
Next
$4 billion |
0.8000% |
Next
$5 billion |
0.7975% |
Amount
Over $10 billion |
0.7950% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion
|
0.4600% |
Next
$1 billion |
0.4500% |
Next
$3 billion |
0.4400% |
Amount
Over $5 billion |
0.4300% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$100 million |
0.9000% |
Next
$150 million |
0.8000% |
Next
$250 million |
0.7000% |
Next
$4.5 billion |
0.6500% |
Next
$5 billion |
0.6300% |
Amount
Over $10 billion |
0.6200% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.8500% |
Next
$500 million |
0.8000% |
Next
$4 billion |
0.7500% |
Next
$5 billion |
0.7475% |
Amount
Over $10 billion |
0.7450% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$250 million |
0.8000% |
Next
$250 million |
0.7500% |
Next
$500 million |
0.7000% |
Amount
Over $1 billion |
0.6500% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$250 million |
0.8500% |
Next
$250 million |
0.8000% |
Next
$500 million |
0.7500% |
Next
$500 million |
0.7000% |
Next
$3.5 billion |
0.6500% |
Next
$5 billion |
0.6300% |
Amount
Over $10 billion |
0.6200% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.8500% |
Next
$500 million |
0.7500% |
Next
$4 billion |
0.7000% |
Next
$5 billion |
0.6975% |
Amount
Over $10 billion |
0.6950% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.7500% |
Next
$500 million |
0.6500% |
Next
$1.5 billion |
0.6000% |
Next
$2.5 billion |
0.5950% |
Next
$5 billion |
0.5900% |
Amount
Over $10 billion |
0.5850% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$250 million |
0.8000% |
Next
$4.75 billion |
0.7000% |
Next
$5 billion |
0.6975% |
Amount
Over $10 billion |
0.6950% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.8000% |
Next
$500 million |
0.7000% |
Next
$4 billion |
0.6500% |
Next
$5 billion |
0.6475% |
Amount
Over $10 billion |
0.6450% |
AVERAGE
DAILY NET ASSETS (Excluding assets invested in investment companies for
which the
|
|
Investment
Manager or its affiliates serves as investment manager (“Affiliated
Funds”)) |
ANNUAL
RATE |
First
$1 billion |
0.3900% |
Next
$4 billion |
0.3800% |
Amount
Over $5 billion |
0.3750% |
AVERAGE
DAILY NET ASSETS (Invested in Affiliated Funds) |
ANNUAL
RATE |
All
Assets invested in Affiliated Funds |
0.0000% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$250 million |
0.7500% |
Next
$250 million |
0.7000% |
Next
$500 million
|
0.6500% |
Next
$1.5 billion |
0.6000% |
Next
$2.5 billion |
0.5900% |
Amount
Over $5 billion |
0.5875% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.7000% |
Next
$500 million |
0.6500% |
Next
$2 billion |
0.6000% |
Next
$2 billion |
0.5900% |
Next
$5 billion |
0.5800% |
Amount
Over $10 billion |
0.5700% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.4500% |
Next
$500 million |
0.3500% |
Next
$1.5 billion |
0.3300% |
Next
$2.5 billion |
0.3250% |
Amount
Over $5 billion |
0.3225% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.7500% |
Next
$500 million |
0.6500% |
Next
$1.5 billion |
0.6400% |
Next
$2.5 billion |
0.6350% |
Next
$5 billion |
0.6300% |
Amount
Over $10 billion |
0.6250% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.7500% |
Next
$500 million |
0.6500% |
Next
$1.5 billion |
0.6000% |
Next
$2.5 billion |
0.5950% |
Next
$5 billion |
0.5900% |
Amount
Over $10 billion |
0.5850% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$250 million |
0.7000% |
Next
$250 million |
0.6300% |
Next
$500 million |
0.6000% |
Next
$1.5 billion |
0.5700% |
Next
$2.5 billion |
0.5500% |
Next
$5 billion |
0.5300% |
Next
$2 billion |
0.4500% |
Amount
Over $12 billion |
0.3900% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.6000% |
Next
$4 billion |
0.5500% |
Amount
Over $5 billion |
0.5300% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$250 million |
0.6800% |
Next
$250 million |
0.6300% |
Next
$2 billion |
0.5800% |
Next
$2.5 billion |
0.5300% |
Next
$5 billion |
0.4750% |
Amount
Over $10 billion |
0.4500% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.5900% |
Next
$250 million |
0.5500% |
Next
$250 million |
0.5000% |
Next
$4 billion |
0.4750% |
Next
$5 billion
|
0.4725% |
Amount
Over $10 billion |
0.4700% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.6500% |
Next
$2 billion |
0.6000% |
Next
$2.5 billion |
0.5900% |
Next
$5 billion |
0.5800% |
Amount
Over $10 billion |
0.5700% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.5000% |
Next
$4 billion |
0.4500% |
Next
$5 billion |
0.4400% |
Amount
Over $10 billion |
0.4350% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.3500% |
Next
$500 million |
0.3000% |
Next
$1.5 billion |
0.2900% |
Next
$2.5 billion |
0.2850% |
Amount
Over $5 billion |
0.2800% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.5500% |
Next
$500 million |
0.5000% |
Next
$1.5 billion |
0.4750% |
Next
$2.5 billion |
0.4650% |
Next
$5 billion |
0.4550% |
Amount
Over $10 billion |
0.4450% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.3500% |
Next
$500 million |
0.3000% |
Next
$4 billion |
0.2600% |
Amount
Over $5 billion |
0.2500% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.3900% |
Next
$500 million |
0.3800% |
Next
$1.5 billion |
0.3750% |
Next
$2.5 billion |
0.3700% |
Next
$5 billion |
0.3675% |
Amount
Over $10 billion |
0.3650% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.4100% |
Next
$500 million |
0.3700% |
Next
$1.5 billion |
0.3650% |
Next
$2.5 billion |
0.3600% |
Next
$5 billion |
0.3500% |
Amount
Over $10 billion |
0.3400% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.1000% |
Next
$500 million |
0.0950% |
Next
$1.5 billion |
0.0900% |
Next
$2.5 billion |
0.0800% |
Next
$2.5 billion |
0.0700% |
Next
$2.5 billion |
0.0600% |
Amount
Over $10 billion |
0.0500% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.6200% |
Next
$500 million |
0.6000% |
Next
$1.5 billion |
0.5800% |
Next
$2.5 billion |
0.5750% |
Amount
Over $5 billion |
0.5700% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.5500% |
Amount
Over $1 billion |
0.5400% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/23 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/23 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/23 |
Net
Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/23 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/23 |
Balanced
Income Fund |
$69,980,830 |
$0 |
$69,980,830 |
$17,989,294 |
0.13% |
Balanced
Retirement Fund |
$244,329 |
$0 |
$244,329 |
$126,863 |
0.17% |
Capital
Appreciation Fund
|
$38,013,044 |
$0 |
$38,013,044 |
$14,242,488 |
0.25% |
Checks
and Balances Fund |
$0 |
$0 |
$0 |
N/A |
N/A |
Climate
Opportunities Fund |
$746,728 |
$0 |
$746,728 |
$361,206 |
0.30% |
Conservative
Allocation Fund |
$101,175 |
$0 |
$101,175 |
N/A |
N/A |
Core
Equity Fund |
$31,620,380 |
$0 |
$31,620,380 |
$8,852,926 |
0.09% |
Dividend
and Growth Fund |
$93,324,072 |
$0 |
$93,324,072 |
$25,598,480 |
0.16% |
Dynamic
Bond Fund |
$363,447 |
$0 |
$363,447 |
$181,723 |
0.30% |
Emerging
Markets Equity Fund |
$3,458,281 |
$0 |
$3,458,281 |
$1,921,267 |
0.50% |
Emerging
Markets Local Debt
Fund |
$254,662 |
$0 |
$254,662 |
$135,820 |
0.40% |
Equity
Income Fund |
$31,907,103 |
$0 |
$31,907,103 |
$9,681,947 |
0.19% |
Floating
Rate Fund |
$9,237,308 |
$0 |
$9,237,308 |
$3,546,192 |
0.24% |
Global
Impact Fund |
$1,148,448 |
$0 |
$1,148,448 |
$611,271 |
0.33% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/23 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/23 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/23 |
Net
Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/23 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/23 |
Growth
Allocation Fund |
$503,441 |
$0 |
$503,441 |
N/A |
N/A |
Growth
Opportunities Fund |
$29,483,713 |
$0 |
$29,483,713 |
$11,275,860 |
0.27% |
Healthcare
Fund |
$10,688,274 |
$0 |
$10,688,274 |
$4,076,853 |
0.33% |
High
Yield Fund |
$1,910,881 |
$0 |
$1,910,881 |
$941,505 |
0.25% |
Inflation
Plus Fund |
$1,697,683 |
$0 |
$1,697,683 |
$429,273 |
0.10% |
International
Equity Fund |
$2,957,413 |
$0 |
$2,957,413 |
$1,285,832 |
0.20% |
International
Growth Fund |
$2,552,630 |
$0 |
$2,552,630 |
$868,289 |
0.27% |
International
Opportunities Fund |
$25,864,881 |
$0 |
$25,864,881 |
$10,009,880 |
0.25% |
International
Value Fund |
$24,584,113 |
$0 |
$24,584,113 |
$10,008,645 |
0.31% |
Low
Duration High Income Fund |
$2,290,781 |
$0 |
$2,290,781 |
$1,023,630 |
0.31% |
MidCap
Fund
|
$49,637,390 |
$0 |
$49,637,390 |
$17,512,953 |
0.25% |
MidCap
Value Fund |
$6,648,064 |
$0 |
$6,648,064 |
$2,848,304 |
0.30% |
Moderate
Allocation Fund |
$314,993 |
$0 |
$314,993 |
N/A |
N/A |
Multi-Asset
Income Fund |
$3,733,620 |
$0 |
$3,733,620 |
$993,095 |
0.15% |
Municipal
Opportunities Fund |
$5,292,232 |
$0 |
$5,292,232 |
$1,904,218 |
0.11% |
Municipal
Short Duration Fund |
$165,263 |
$0 |
$165,263 |
$51,940 |
0.11% |
Real
Asset Fund |
$1,236,412 |
$135,475 |
$1,100,937 |
$560,855 |
0.41% |
Short
Duration Fund |
$6,923,727 |
$0 |
$6,923,727 |
$2,020,576 |
0.11% |
Small
Cap Growth Fund |
$3,477,991 |
$0 |
$3,477,991 |
$1,242,006 |
0.28% |
Small
Cap Value Fund |
$835,107 |
$0 |
$835,107 |
$414,833 |
0.35% |
Small
Company Fund |
$5,020,781 |
$0 |
$5,020,781 |
$2,322,891 |
0.38% |
Strategic
Income Fund |
$10,046,354 |
$0 |
$10,046,354 |
$3,790,126 |
0.19% |
Sustainable
Municipal Bond
Fund |
$322,159 |
$0 |
$322,159 |
$119,659 |
0.13% |
Total
Return Bond Fund |
$8,478,267 |
$0 |
$8,478,267 |
$2,966,850 |
0.10% |
World
Bond Fund |
$20,394,277 |
$0 |
$20,394,277 |
$7,496,280 |
0.21% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/22 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/22 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/22 |
Net
Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/22 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/22 |
Balanced
Income Fund |
$75,232,697 |
$0 |
$75,232,697 |
$19,605,253 |
0.13% |
Balanced
Retirement Fund |
$280,441 |
$0 |
$280,441 |
$145,613 |
0.16% |
Capital
Appreciation Fund
|
$43,744,020 |
$0 |
$43,744,020 |
$16,455,220 |
0.25% |
Checks
and Balances Fund |
$0 |
$0 |
$0 |
N/A |
N/A |
Climate
Opportunities Fund |
$804,168 |
$0 |
$804,168 |
$389,445 |
0.30% |
Conservative
Allocation Fund |
$122,389 |
$0 |
$122,389 |
N/A |
N/A |
Core
Equity Fund |
$36,928,848 |
$0 |
$36,928,848 |
$10,334,359 |
0.09% |
Dividend
and Growth Fund |
$91,787,234 |
$0 |
$91,787,234 |
$25,204,419 |
0.16% |
Dynamic
Bond Fund(1)
|
$118,270 |
$0 |
$118,270 |
$59,135 |
0.30% |
Emerging
Markets Equity Fund |
$4,120,352 |
$0 |
$4,120,352 |
$2,288,687 |
0.50% |
Emerging
Markets Local Debt
Fund |
$427,206 |
$0 |
$427,206 |
$227,843 |
0.40% |
Equity
Income Fund |
$30,000,402 |
$0 |
$30,000,402 |
$9,114,827 |
0.19% |
Floating
Rate Fund |
$13,146,852 |
$0 |
$13,146,852 |
$4,719,056 |
0.22% |
Global
Impact Fund |
$1,009,547 |
$0 |
$1,009,547 |
$537,339 |
0.33% |
Growth
Allocation Fund |
$562,184 |
$0 |
$562,184 |
N/A |
N/A |
Growth
Opportunities Fund |
$39,918,112 |
$0 |
$39,918,112 |
$15,309,292 |
0.27% |
Healthcare
Fund |
$12,324,123 |
$0 |
$12,324,123 |
$4,690,296 |
0.32% |
High
Yield Fund |
$2,084,579 |
$0 |
$2,084,579 |
$1,021,406 |
0.24% |
Inflation
Plus Fund |
$2,161,681 |
$0 |
$2,161,681 |
$537,648 |
0.10% |
International
Equity Fund |
$3,441,953 |
$0 |
$3,441,953 |
$1,496,501 |
0.20% |
International
Growth Fund |
$3,641,486 |
$0 |
$3,641,486 |
$1,194,945 |
0.25% |
International
Opportunities Fund |
$27,300,759 |
$0 |
$27,300,759 |
$10,507,349 |
0.25% |
International
Value Fund |
$17,971,556 |
$0 |
$17,971,556 |
$7,363,622 |
0.32% |
Low
Duration High Income Fund |
$3,231,353 |
$0 |
$3,231,353 |
$1,403,643 |
0.30% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/22 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/22 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/22 |
Net
Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/22 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/22 |
MidCap
Fund
|
$72,260,680 |
$0 |
$72,260,680 |
$25,631,412 |
0.25% |
MidCap
Value Fund |
$6,271,942 |
$0 |
$6,271,942 |
$2,686,375 |
0.30% |
Moderate
Allocation Fund |
$368,211 |
$0 |
$368,211 |
N/A |
N/A |
Multi-Asset
Income Fund |
$4,352,732 |
$0 |
$4,352,732 |
$1,138,030 |
0.15% |
Municipal
Opportunities Fund |
$5,815,001 |
$0 |
$5,815,001 |
$2,084,483 |
0.11% |
Municipal
Short Duration Fund |
$162,137 |
$0 |
$162,137 |
$50,957 |
0.11% |
Real
Asset Fund |
$1,306,443 |
$153,836 |
$1,152,607 |
$587,177 |
0.41% |
Short
Duration Fund |
$7,745,110 |
$0 |
$7,745,110 |
$2,223,109 |
0.11% |
Small
Cap Growth Fund |
$4,676,358 |
$0 |
$4,676,358 |
$1,628,223 |
0.26% |
Small
Cap Value Fund |
$1,029,469 |
$0 |
$1,029,469 |
$497,833 |
0.34% |
Small
Company Fund |
$6,030,361 |
$0 |
$6,030,361 |
$2,828,126 |
0.38% |
Strategic
Income Fund |
$13,696,285 |
$0 |
$13,696,285 |
$4,955,413 |
0.18% |
Sustainable
Municipal Bond
Fund |
$434,897 |
$0 |
$434,897 |
$161,533 |
0.13% |
Total
Return Bond Fund |
$9,009,973 |
$0 |
$9,009,973 |
$3,142,722 |
0.10% |
World
Bond Fund |
$20,499,537 |
$0 |
$20,499,537 |
$7,535,560 |
0.21% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/21 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/21 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/21 |
Net
Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/21 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/21 |
Balanced
Income Fund |
$76,272,233 |
$0 |
$76,272,233 |
$19,925,110 |
0.13% |
Balanced
Retirement Fund |
$322,245 |
$0 |
$322,245 |
$167,320 |
0.16% |
Capital
Appreciation Fund
|
$49,676,683 |
$0 |
$49,676,683 |
$18,745,823 |
0.25% |
Checks
and Balances Fund |
$0 |
$0 |
$0 |
N/A |
N/A |
Climate
Opportunities Fund |
$707,222 |
$0 |
$707,222 |
$341,243 |
0.30% |
Conservative
Allocation Fund |
$137,897 |
$0 |
$137,897 |
N/A |
N/A |
Core
Equity Fund |
$37,136,213 |
$0 |
$37,136,213 |
$10,392,228 |
0.09% |
Dividend
and Growth Fund |
$74,151,966 |
$0 |
$74,151,966 |
$20,681,569 |
0.17% |
Emerging
Markets Equity Fund |
$4,320,997 |
$0 |
$4,320,997 |
$2,400,231 |
0.50% |
Emerging
Markets Local Debt
Fund |
$487,974 |
$0 |
$487,974 |
$260,252 |
0.40% |
Equity
Income Fund |
$27,914,942 |
$0 |
$27,914,942 |
$8,496,169 |
0.19% |
Floating
Rate Fund |
$11,851,296 |
$0 |
$11,851,296 |
$4,330,389 |
0.22% |
Global
Impact Fund |
$711,847 |
$0 |
$711,847 |
$378,886 |
0.33% |
Growth
Allocation Fund |
$628,412 |
$0 |
$628,412 |
N/A |
N/A |
Growth
Opportunities Fund |
$53,553,149 |
$0 |
$53,553,149 |
$20,585,090 |
0.27% |
Healthcare
Fund |
$14,240,330 |
$0 |
$14,240,330 |
$5,408,874 |
0.32% |
High
Yield Fund |
$2,120,462 |
$0 |
$2,120,462 |
$1,037,913 |
0.24% |
Inflation
Plus Fund |
$2,063,613 |
$0 |
$2,063,613 |
$514,443 |
0.10% |
International
Equity Fund |
$4,263,839 |
$0 |
$4,263,839 |
$1,853,843 |
0.20% |
International
Growth Fund |
$5,000,180 |
$0 |
$5,000,180 |
$1,602,554 |
0.24% |
International
Opportunities Fund |
$29,351,547 |
$0 |
$29,351,547 |
$11,217,859 |
0.25% |
International
Value Fund |
$13,934,000 |
$0 |
$13,934,000 |
$5,748,600 |
0.33% |
Low
Duration High Income Fund |
$2,655,210 |
$0 |
$2,655,210 |
$1,170,963 |
0.31% |
MidCap
Fund
|
$105,484,421 |
$0 |
$105,484,421 |
$37,574,432 |
0.25% |
MidCap
Value Fund |
$5,708,276 |
$0 |
$5,708,276 |
$2,443,565 |
0.30% |
Moderate
Allocation Fund |
$414,396 |
$0 |
$414,396 |
N/A |
N/A |
Multi-Asset
Income Fund |
$5,061,653 |
$0 |
$5,061,653 |
$1,311,663 |
0.15% |
Municipal
Opportunities Fund |
$5,154,585 |
$0 |
$5,154,585 |
$1,856,753 |
0.11% |
Municipal
Short Duration Fund |
$105,729 |
$0 |
$105,729 |
$33,229 |
0.11% |
Real
Asset Fund
|
$1,366,627 |
$185,953 |
$1,180,674 |
$601,476 |
0.41% |
Short
Duration Fund |
$7,229,119 |
$0 |
$7,229,119 |
$2,095,879 |
0.11% |
Small
Cap Growth Fund |
$6,588,557 |
$0 |
$6,588,557 |
$2,217,633 |
0.24% |
Small
Cap Value Fund |
$988,172 |
$0 |
$988,172 |
$478,043 |
0.34% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/21 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/21 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/21 |
Net
Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/21 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to
Unaffiliated
Managers
For
fiscal year
ended
10/31/21 |
Small
Company Fund |
$7,498,454 |
$0 |
$7,498,454 |
$3,562,749 |
0.38% |
Strategic
Income Fund |
$12,965,791 |
$0 |
$12,965,791 |
$4,723,681 |
0.18% |
Sustainable
Municipal Bond
Fund |
$376,044 |
$0 |
$376,044 |
$139,673 |
0.13% |
Total
Return Bond Fund |
$9,340,445 |
$0 |
$9,340,445 |
$3,130,236 |
0.09% |
World
Bond Fund |
$25,439,347 |
$0 |
$25,439,347 |
$9,384,763 |
0.22% |
FUND
NAME |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
R6 |
CLASS
Y |
CLASS
F |
Climate
Opportunities Fund(1)
|
1.19% |
1.94% |
0.89% |
1.41% |
1.11% |
0.81% |
0.69% |
0.79% |
0.69% |
Conservative
Allocation Fund(2)
|
1.19% |
1.94% |
0.94% |
1.44% |
1.14% |
0.84% |
0.84% |
0.84% |
0.84% |
Dynamic
Bond Fund(1)
|
1.05% |
1.85% |
0.69% |
N/A |
N/A |
0.70% |
0.60% |
0.70% |
0.60% |
Emerging
Markets Equity Fund(1)
|
1.45% |
2.20% |
1.20% |
1.70% |
1.45% |
1.15% |
0.98% |
1.10% |
0.98% |
Emerging
Markets Local Debt Fund(1)
|
1.18% |
1.93% |
0.93% |
1.48% |
1.18% |
0.88% |
N/A |
0.88% |
0.83% |
Global
Impact Fund(1)
|
1.19% |
1.94% |
0.89% |
1.41% |
1.11% |
0.81% |
0.69% |
0.79% |
0.69% |
High
Yield Fund(1)
|
0.95% |
1.75% |
0.69% |
1.27% |
0.97% |
0.67% |
0.55% |
0.66% |
0.55% |
International
Growth Fund(1)
|
1.30% |
2.05% |
0.98% |
1.57% |
1.27% |
1.00% |
0.85% |
0.95% |
0.85% |
Low
Duration High Income Fund(1)
|
1.00% |
1.75% |
0.75% |
1.32% |
1.02% |
0.72% |
N/A |
0.72% |
0.65% |
Municipal
Short Duration Fund(1)
|
0.69% |
1.44% |
0.46% |
N/A |
N/A |
N/A |
N/A |
N/A |
0.39% |
Real
Asset Fund(1)
|
1.25% |
2.00% |
1.00% |
1.50% |
1.20% |
0.95% |
0.90% |
0.90% |
0.90% |
Small
Cap Value Fund(1)
|
1.30% |
2.05% |
1.00% |
1.50% |
1.20% |
0.90% |
0.80% |
0.85% |
0.80% |
Sustainable
Municipal Bond Fund(1)
|
0.69% |
1.44% |
0.46% |
N/A |
N/A |
N/A |
N/A |
N/A |
0.39% |
FUND
NAME |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
R6 |
CLASS
Y |
CLASS
F |
Floating
Rate Fund |
1.00% |
1.75% |
0.75% |
1.25% |
1.00% |
0.85% |
N/A |
0.75% |
N/A |
Inflation
Plus Fund |
1.00% |
1.75% |
0.75% |
1.25% |
1.00% |
0.85% |
N/A |
0.75% |
N/A |
Short
Duration Fund |
1.00% |
1.75% |
0.75% |
N/A |
N/A |
N/A |
N/A |
0.75% |
N/A |
Total
Return Bond Fund |
1.00% |
1.75% |
0.75% |
1.25% |
1.00% |
0.85% |
N/A |
0.75% |
N/A |
FUND
NAME |
For
the Fiscal Year Ended
10/31/2023 |
For
the Fiscal Year Ended
10/31/2022 |
For
the Fiscal Year Ended
10/31/2021 |
Balanced
Income Fund |
$1,872,246 |
$2,089,048
|
$2,155,616 |
FUND
NAME |
For
the Fiscal Year Ended
10/31/2023 |
For
the Fiscal Year Ended
10/31/2022 |
For
the Fiscal Year Ended
10/31/2021 |
Balanced
Retirement Fund |
$15,075 |
$18,126
|
$18,301 |
Capital
Appreciation Fund |
$794,579 |
$935,628
|
$1,079,266 |
Checks
and Balances Fund |
$204,074 |
$232,713
|
$252,209 |
Climate
Opportunities Fund |
$24,088 |
$25,934
|
$20,083 |
Conservative
Allocation Fund |
$20,179 |
$24,483
|
$23,655 |
Core
Equity Fund |
$1,314,474 |
$1,577,937
|
$1,601,426 |
Dividend
and Growth Fund |
$2,165,813 |
$2,171,799
|
$1,754,140 |
Dynamic
Bond Fund |
$11,709 |
$4,011(1)
|
N/A |
Emerging
Markets Equity Fund |
$70,467 |
$81,764
|
$82,480 |
Emerging
Markets Local Debt Fund |
$6,745 |
$11,459
|
$11,064 |
Equity
Income Fund |
$737,376 |
$697,537
|
$659,987 |
Floating
Rate Fund |
$226,792 |
$320,401
|
$289,229 |
Global
Impact Fund |
$37,047 |
$32,589
|
$19,730 |
Growth
Allocation Fund |
$87,135 |
$96,322
|
$106,564 |
Growth
Opportunities Fund |
$583,787 |
$808,772
|
$1,094,466 |
Healthcare
Fund |
$188,316 |
$218,016
|
$255,936 |
High
Yield Fund |
$75,166 |
$77,741
|
$72,579 |
Inflation
Plus Fund |
$83,332 |
$96,974
|
$90,536 |
International
Equity Fund |
$105,891 |
$121,790
|
$148,104 |
International
Growth Fund |
$62,141 |
$83,017
|
$110,253 |
International
Opportunities Fund |
$559,394 |
$603,712
|
$653,031 |
International
Value Fund |
$459,457 |
$343,200
|
$263,093 |
Low
Duration High Income Fund |
$64,045 |
$84,031
|
$65,407 |
MidCap
Fund |
$956,595 |
$1,435,389
|
$2,146,175 |
MidCap
Value Fund |
$148,205 |
$142,032
|
$129,561 |
Moderate
Allocation Fund |
$61,323 |
$68,813
|
$71,053 |
Multi-Asset
Income Fund |
$111,921 |
$124,372
|
$143,926 |
Municipal
Opportunities Fund |
$254,801 |
$280,287
|
$250,389 |
Municipal
Short Duration Fund |
$9,430 |
$9,249
|
$5,204 |
Real
Asset Fund |
$30,384 |
$32,306
|
$26,787 |
Short
Duration Fund |
$274,697 |
$304,991
|
$285,909 |
Small
Cap Growth Fund |
$78,791 |
$105,052
|
$146,956 |
Small
Cap Value Fund |
$23,773 |
$29,313
|
$24,971 |
Small
Company Fund |
$103,299 |
$122,441
|
$150,619 |
Strategic
Income Fund |
$297,865 |
$410,669
|
$383,374 |
Sustainable
Municipal Bond Fund |
$18,378 |
$25,034
|
$18,600 |
Total
Return Bond Fund |
$437,131 |
$466,283
|
$489,532 |
World
Bond Fund |
$515,522 |
$511,954
|
$631,028 |
Share
Class |
Specified
Amount (as a percentage of average daily net assets)
(as
of March 1, 2024) |
Class
A |
0.250% |
Class
C |
0.250% |
Class
I |
0.200% |
Class
Y |
0.110% |
Class
R3 |
0.220% |
Class
R4 |
0.170% |
Class
R5 |
0.120% |
Class
R6 |
0.004% |
Class
F |
0.004% |
Fund |
Class
A |
Class
Y |
Inflation
Plus Fund |
0.13% |
N/A |
Short
Duration Fund |
0.09% |
N/A |
Small
Cap Growth Fund |
N/A |
0.07% |
FUND
NAME |
Gross
Income from
securities
lending
activities |
Fees
paid to
securities
lending
agent
from a
revenue
split*
|
Rebates
(paid
to
borrower) |
Aggregate
fees /
compensation
from
securities
lending
activities |
Net
income from
securities
lending
activities |
Balanced
Income Fund |
$3,591,680 |
$81,753 |
$2,774,151 |
$2,855,904 |
$735,776 |
Balanced
Retirement Fund |
$26,029 |
$653 |
$19,493 |
$20,146 |
$5,883 |
Capital
Appreciation Fund |
$295,231 |
$3,618 |
$259,051 |
$262,669 |
$32,562 |
Climate
Opportunities Fund |
$28,201 |
$1,413 |
$14,068 |
$15,481 |
$12,720 |
Core
Equity Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
Dividend
and Growth Fund |
$491,101 |
$12,261 |
$368,487 |
$380,748 |
$110,353 |
Dynamic
Bond Fund |
$521 |
$24 |
$285 |
$309 |
$212 |
Emerging
Markets Equity Fund |
$202,742 |
$19,151 |
$11,227 |
$30,378 |
$172,364 |
Emerging
Markets Local Debt Fund |
$6,485 |
$283 |
$3,654 |
$3,937 |
$2,548 |
Equity
Income Fund |
$751,287 |
$28,496 |
$466,324 |
$494,820 |
$256,467 |
Global
Impact Fund |
$18,068 |
$480 |
$13,266 |
$13,746 |
$4,322 |
Growth
Opportunities Fund |
$486,988 |
$15,524 |
$331,745 |
$347,269 |
$139,719 |
Healthcare
Fund |
$57,013 |
$1,335 |
$43,661 |
$44,996 |
$12,017 |
Inflation
Plus Fund |
$11,106 |
$628 |
$4,828 |
$5,456 |
$5,650 |
International
Equity Fund |
$303,421 |
$9,383 |
$209,589 |
$218,972 |
$84,449 |
International
Growth Fund |
$79,492 |
$1,494 |
$64,549 |
$66,043 |
$13,449 |
International
Opportunities Fund |
$1,459,578 |
$45,514 |
$1,004,447 |
$1,049,961 |
$409,617 |
International
Value Fund |
$3,049,311 |
$115,407 |
$1,895,246 |
$2,010,653 |
$1,038,658 |
MidCap
Fund |
$3,262,462 |
$27,200 |
$2,990,457 |
$3,017,657 |
$244,805 |
MidCap
Value Fund |
$498 |
$50 |
$0 |
$50 |
$448 |
Multi-Asset
Income Fund |
$203,903 |
$6,206 |
$141,834 |
$148,040 |
$55,863 |
Municipal
Opportunities Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
Municipal
Short Duration Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
Real
Asset Fund |
$66,798 |
$3,161 |
$35,187 |
$38,348 |
$28,450 |
Short
Duration Fund |
$229,544 |
$6,251 |
$167,030 |
$173,281 |
$56,263 |
Small
Cap Growth Fund |
$170,025 |
$1,905 |
$150,975 |
$152,880 |
$17,145 |
Small
Cap Value Fund |
$27,279 |
$252 |
$24,488 |
$24,740 |
$2,539 |
Small
Company Fund |
$511,326 |
$9,711 |
$414,218 |
$423,929 |
$87,397 |
Strategic
Income Fund |
$876,372 |
$31,877 |
$557,596 |
$589,473 |
$286,899 |
Sustainable
Municipal Bond Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
Total
Return Bond Fund |
$294,635 |
$5,414 |
$240,496 |
$245,910 |
$48,725 |
World
Bond Fund |
$200,414 |
$4,636 |
$154,050 |
$158,686 |
$41,728 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Checks
and Balances Fund | ||||
Vernon
J. Meyer |
|
|
|
|
Other
Registered Investment Companies |
3 |
$847 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Allison
Mortensen |
|
|
|
|
Other
Registered Investment Companies |
3 |
$847 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
Other
Accounts |
13 |
$0 |
0 |
$0 |
James
S. Glendon | ||||
Other
Registered Investment Companies |
3 |
$847 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
Other
Accounts |
13 |
$0 |
0 |
$0 |
Conservative
Allocation Fund | ||||
Vernon
J. Meyer |
|
|
|
|
Other
Registered Investment Companies |
3 |
$2,015 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Allison
Mortensen |
|
|
|
|
Other
Registered Investment Companies |
3 |
$2,015 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
Other
Accounts |
13 |
$0 |
0 |
$0 |
James
S. Glendon | ||||
Other
Registered Investment Companies |
3 |
$2,015 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
Other
Accounts |
13 |
$0 |
0 |
$0 |
Growth
Allocation Fund | ||||
Vernon
J. Meyer |
|
|
|
|
Other
Registered Investment Companies |
3 |
$1,635 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Allison
Mortensen |
|
|
|
|
Other
Registered Investment Companies |
3 |
$1,635 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
Other
Accounts |
13 |
$0 |
0 |
$0 |
James
S. Glendon | ||||
Other
Registered Investment Companies |
3 |
$1,635 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
Other
Accounts |
13 |
$0 |
0 |
$0 |
Moderate
Allocation Fund | ||||
Vernon
J. Meyer |
|
|
|
|
Other
Registered Investment Companies |
3 |
$1,819 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Allison
Mortensen |
|
|
|
|
Other
Registered Investment Companies |
3 |
$1,819 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Other
Accounts |
13 |
$0 |
0 |
$0 |
James
S. Glendon | ||||
Other
Registered Investment Companies |
3 |
$1,819 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3* |
$1,440 |
0 |
$0 |
Other
Accounts |
13 |
$0 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Balanced
Income Fund | ||||
Scott
I. St. John |
|
|
|
|
Other
Registered Investment Companies |
18 |
$13,228 |
0 |
$0 |
Other
Pooled Investment Vehicles |
12 |
$6,073 |
0 |
$0 |
Other
Accounts |
101 |
$39,019 |
5 |
$1,025 |
Adam
H. Illfelder |
|
|
|
|
Other
Registered Investment Companies |
10 |
$10,649 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$417 |
0 |
$0 |
Other
Accounts |
3 |
$586 |
0 |
$0 |
Matthew
C. Hand |
|
|
|
|
Other
Registered Investment Companies |
10 |
$59,659 |
3 |
$51,098 |
Other
Pooled Investment Vehicles |
10 |
$1,771 |
2 |
$15 |
Other
Accounts |
11 |
$1,191 |
0 |
$0 |
Balanced
Retirement Fund | ||||
Lutz-Peter
Wilke |
|
|
|
|
Other
Registered Investment Companies |
1 |
$587 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$375 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Capital
Appreciation Fund | ||||
Gregg
R. Thomas |
|
|
|
|
Other
Registered Investment Companies |
7 |
$4,582 |
0 |
$0 |
Other
Pooled Investment Vehicles |
15 |
$2,833 |
2 |
$67 |
Other
Accounts |
6 |
$3,132 |
0 |
$0 |
Thomas
S. Simon |
|
|
|
|
Other
Registered Investment Companies |
11 |
$5,147 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$604 |
0 |
$0 |
Other
Accounts |
3 |
$1,400 |
0 |
$0 |
Veenu
Ramchandani(1)
|
|
|
|
|
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Other
Registered Investment Companies |
1 |
$463 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$829 |
0 |
$0 |
Other
Accounts |
2 |
$821 |
0 |
$0 |
Climate
Opportunities Fund | ||||
Alan
Hsu |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
16 |
$850 |
4 |
$175 |
Other
Accounts |
33 |
$807 |
0 |
$0 |
G.
Thomas Levering |
|
|
|
|
Other
Registered Investment Companies |
21 |
$7,526 |
3 |
$6,031 |
Other
Pooled Investment Vehicles |
40 |
$3,263 |
18 |
$2,122 |
Other
Accounts |
46 |
$1,115 |
10 |
$307 |
Core
Equity Fund | ||||
Douglas
W. McLane |
|
|
|
|
Other
Registered Investment Companies |
12 |
$12,331 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,119 |
3 |
$366 |
Other
Accounts |
16 |
$3,851 |
2 |
$877 |
David
A. Siegle |
|
|
|
|
Other
Registered Investment Companies |
12 |
$12,331 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$1,618 |
0 |
$0 |
Other
Accounts |
16 |
$3,851 |
2 |
$877 |
Mammen
Chally(2)
|
|
|
|
|
Other
Registered Investment Companies |
12 |
$12,331 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$1,618 |
0 |
$0 |
Other
Accounts |
17 |
$3,863 |
2 |
$877 |
Dividend
and Growth Fund | ||||
Matthew
G. Baker |
|
|
|
|
Other
Registered Investment Companies |
4 |
$4,333 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$1,902 |
0 |
$0 |
Other
Accounts |
2 |
$315 |
0 |
$0 |
Nataliya
Kofman |
|
|
|
|
Other
Registered Investment Companies |
3 |
$4,684 |
1 |
$1,387 |
Other
Pooled Investment Vehicles |
11 |
$1,652 |
1 |
$79 |
Other
Accounts |
9 |
$1,543 |
0 |
$0 |
Brian
J. Schmeer |
|
|
|
|
Other
Registered Investment Companies |
2 |
$3,297 |
0 |
$0 |
Other
Pooled Investment Vehicles |
1 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Dynamic
Bond Fund | ||||
Connor
Fitzgerald |
|
|
|
|
Other
Registered Investment Companies |
11 |
$16,926 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$5,387 |
0 |
$0 |
Other
Accounts |
68 |
$29,556 |
4 |
$916 |
Schuyler
S. Reece(3)
|
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$5,131 |
1 |
$522 |
Other
Accounts |
12 |
$4,651 |
0 |
$0 |
Emerging
Markets Equity Fund | ||||
David
J. Elliott(4)
|
|
|
|
|
Other
Registered Investment Companies |
3 |
$786 |
0 |
$0 |
Other
Pooled Investment Vehicles |
19 |
$1,371 |
4 |
$487 |
Other
Accounts |
10 |
$3,451 |
1 |
$227 |
Mark
A. Yarger |
|
|
|
|
Other
Registered Investment Companies |
1 |
$50 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$1,002 |
2 |
$487 |
Other
Accounts |
4 |
$776 |
1 |
$227 |
Christopher
R. Grohe(5)
|
|
|
|
|
Other
Registered Investment Companies |
1 |
$690 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
2 |
$458 |
0 |
$0 |
Emerging
Markets Local Debt Fund | ||||
Michael
T. Henry |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
9 |
$4,288 |
4 |
$2,543 |
Other
Accounts |
7 |
$3,357 |
0 |
$0 |
Kevin
F. Murphy |
|
|
|
|
Other
Registered Investment Companies |
2 |
$719 |
0 |
$0 |
Other
Pooled Investment Vehicles |
28 |
$10,602 |
3 |
$2,965 |
Other
Accounts |
25 |
$9,569 |
0 |
$0 |
Equity
Income Fund | ||||
Adam
H. Illfelder |
|
|
|
|
Other
Registered Investment Companies |
10 |
$17,882 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$417 |
0 |
$0 |
Other
Accounts |
3 |
$586 |
0 |
$0 |
Matthew
C. Hand |
|
|
|
|
Other
Registered Investment Companies |
10 |
$4,843 |
3 |
$51,098 |
Other
Pooled Investment Vehicles |
10 |
$1,771 |
2 |
$15 |
Other
Accounts |
11 |
$1,191 |
0 |
$0 |
Floating
Rate Fund | ||||
David
B. Marshak |
|
|
|
|
Other
Registered Investment Companies |
4 |
$537 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$84 |
0 |
$0 |
Other
Accounts |
4 |
$511 |
0 |
$0 |
Jeffrey
W. Heuer |
|
|
|
|
Other
Registered Investment Companies |
17 |
$876 |
0 |
$0 |
Other
Pooled Investment Vehicles |
12 |
$1,003 |
1 |
$106 |
Other
Accounts |
32 |
$2,127 |
0 |
$0 |
Global
Impact Fund
| ||||
Jason
M. Goins |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$1,847 |
0 |
$0 |
Other
Accounts |
2 |
$150 |
0 |
$0 |
Tara
C. Stilwell |
|
|
|
|
Other
Registered Investment Companies |
4 |
$4,435 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$2,856 |
0 |
$0 |
Other
Accounts |
19 |
$6,388 |
1 |
$289 |
Growth
Opportunities Fund | ||||
Mario
E. Abularach |
|
|
|
|
Other
Registered Investment Companies |
3 |
$1,805 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Stephen
Mortimer |
|
|
|
|
Other
Registered Investment Companies |
9 |
$5,284 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$273 |
1 |
$28 |
Other
Accounts |
4 |
$739 |
1 |
$186 |
Healthcare
Fund | ||||
Rebecca
D. Sykes |
|
|
|
|
Other
Registered Investment Companies |
17 |
$44,101 |
3 |
$43,390 |
Other
Pooled Investment Vehicles |
50 |
$6,191 |
15 |
$1,067 |
Other
Accounts |
54 |
$3,749 |
12 |
$2,375 |
Wen
Shi |
|
|
|
|
Other
Registered Investment Companies |
12 |
$358 |
1 |
$15 |
Other
Pooled Investment Vehicles |
30 |
$1,894 |
8 |
$276 |
Other
Accounts |
65 |
$2,080 |
8 |
$1,460 |
David
M. Khtikian |
|
|
|
|
Other
Registered Investment Companies |
9 |
$358 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Other
Pooled Investment Vehicles |
21 |
$1,240 |
4 |
$58 |
Other
Accounts |
64 |
$1,907 |
8 |
$1,231 |
Fayyaz
Mujtaba |
|
|
|
|
Other
Registered Investment Companies |
14 |
$400 |
1 |
$24 |
Other
Pooled Investment Vehicles |
29 |
$1,279 |
4 |
$47 |
Other
Accounts |
74 |
$1,947 |
11 |
$1,266 |
High
Yield Fund | ||||
Michael
V. Barry | ||||
Other
Registered Investment Companies |
8 |
$16,048 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$963 |
1 |
$99 |
Other
Accounts |
10 |
$966 |
0 |
$0 |
Inflation
Plus Fund | ||||
Joseph
F. Marvan |
|
|
|
|
Other
Registered Investment Companies |
20 |
$26,864 |
0 |
$0 |
Other
Pooled Investment Vehicles |
23 |
$8,888 |
0 |
$0 |
Other
Accounts |
68 |
$28,008 |
1 |
$270 |
Jeremy
Forster |
|
|
|
|
Other
Registered Investment Companies |
9 |
$5,462 |
0 |
$0 |
Other
Pooled Investment Vehicles |
14 |
$581 |
0 |
$0 |
Other
Accounts |
48 |
$7,106 |
1 |
$270 |
Brij
S. Khurana |
|
|
|
|
Other
Registered Investment Companies |
2 |
$77 |
0 |
$0 |
Other
Pooled Investment Vehicles |
4 |
$1,332 |
1 |
$759 |
Other
Accounts |
1 |
$65 |
0 |
$0 |
International
Equity Fund | ||||
Gregg
R. Thomas |
|
|
|
|
Other
Registered Investment Companies |
7 |
$1,189 |
0 |
$0 |
Other
Pooled Investment Vehicles |
15 |
$2,833 |
2 |
$67 |
Other
Accounts |
6 |
$3,132 |
0 |
$0 |
Thomas
S. Simon |
|
|
|
|
Other
Registered Investment Companies |
11 |
$9,811 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$604 |
0 |
$0 |
Other
Accounts |
3 |
$1,400 |
0 |
$0 |
International
Growth Fund | ||||
Matthew
D. Hudson |
|
|
|
|
Other
Registered Investment Companies |
1 |
$141 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$875 |
1 |
$124 |
Other
Accounts |
7 |
$730 |
1 |
$58 |
International
Opportunities Fund | ||||
Nicolas
M. Choumenkovitch(6)
|
|
|
|
|
Other
Registered Investment Companies |
3 |
$1,011 |
0 |
$0 |
Other
Pooled Investment Vehicles |
7 |
$2,855 |
0 |
$0 |
Other
Accounts |
17 |
$6,000 |
1 |
$289 |
Tara
C. Stilwell |
|
|
|
|
Other
Registered Investment Companies |
4 |
$1,189 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$2,856 |
0 |
$0 |
Other
Accounts |
19 |
$6,388 |
1 |
$289 |
International
Value Fund | ||||
James
H. Shakin |
|
|
|
|
Other
Registered Investment Companies |
7 |
$1,543 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,080 |
1 |
$7 |
Other
Accounts |
12 |
$2,523 |
1 |
$56 |
Andrew
M. Corry |
|
|
|
|
Other
Registered Investment Companies |
7 |
$1,543 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$2,080 |
1 |
$7 |
Other
Accounts |
12 |
$2,523 |
1 |
$56 |
Tarit
Rao-Chakravorti |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Other
Pooled Investment Vehicles |
3 |
$30 |
0 |
$0 |
Other
Accounts |
1 |
$5 |
0 |
$0 |
Tyler
J. Brown |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$30 |
0 |
$0 |
Other
Accounts |
1 |
$5 |
0 |
$0 |
Low
Duration High Income Fund | ||||
Alyssa
Irving(7)
|
|
|
|
|
Other
Registered Investment Companies |
2 |
$283 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$114 |
0 |
$0 |
Other
Accounts |
57 |
$16,511 |
0 |
$0 |
Marc
K. Piccuirro(7)
|
|
|
|
|
Other
Registered Investment Companies |
1 |
$1,759 |
0 |
$0 |
Other
Pooled Investment Vehicles |
1 |
$53 |
0 |
$0 |
Other
Accounts |
75 |
$18,883 |
0 |
$0 |
MidCap
Fund | ||||
Philip
W. Ruedi |
|
|
|
|
Other
Registered Investment Companies |
7 |
$8,529 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$1,254 |
0 |
$0 |
Other
Accounts |
12 |
$1,306 |
3 |
$575 |
Mark
A. Whitaker |
|
|
|
|
Other
Registered Investment Companies |
8 |
$8,510 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$2,335 |
0 |
$0 |
Other
Accounts |
22 |
$2,918 |
3 |
$575 |
MidCap
Value Fund | ||||
Gregory
J. Garabedian |
|
|
|
|
Other
Registered Investment Companies |
7 |
$1,674 |
0 |
$0 |
Other
Pooled Investment Vehicles |
2 |
$203 |
0 |
$0 |
Other
Accounts |
3 |
$257 |
0 |
$0 |
Mark
S. Goodman(8)
|
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Multi-Asset
Income Fund | ||||
Lutz-Peter
Wilke |
|
|
|
|
Other
Registered Investment Companies |
1 |
$65 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$375 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Loren
L. Moran |
|
|
|
|
Other
Registered Investment Companies |
10 |
$73,873 |
5 |
$69,033 |
Other
Pooled Investment Vehicles |
4 |
$403 |
1 |
$42 |
Other
Accounts |
1 |
$653 |
0 |
$0 |
Municipal
Opportunities Fund | ||||
Brad
W. Libby |
|
|
|
|
Other
Registered Investment Companies |
4 |
$769 |
0 |
$0 |
Other
Pooled Investment Vehicles |
1 |
$3 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Timothy
D. Haney(9)
|
|
|
|
|
Other
Registered Investment Companies |
3 |
$491 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
119 |
$47,310 |
0 |
$0 |
Elizabeth
J. Kleinerman(10)
|
|
|
|
|
Other
Registered Investment Companies |
2 |
$124 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
77 |
$17,002 |
0 |
$0 |
Municipal
Short Duration Fund | ||||
Brad
W. Libby |
|
|
|
|
Other
Registered Investment Companies |
4 |
$2,392 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Other
Pooled Investment Vehicles |
1 |
$3 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Timothy
D. Haney(9)
|
|
|
|
|
Other
Registered Investment Companies |
3 |
$2,114 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
119 |
$47,310 |
0 |
$0 |
Elizabeth
J. Kleinerman(10)
|
|
|
|
|
Other
Registered Investment Companies |
2 |
$1,747 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
77 |
$17,002 |
0 |
$0 |
Real
Asset Fund | ||||
Brian
M. Garvey |
|
|
|
|
Other
Registered Investment Companies |
3 |
$237 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$8,111 |
6 |
$4,301 |
Other
Accounts |
7 |
$495 |
0 |
$0 |
Nicholas
J. Petrucelli |
|
|
|
|
Other
Registered Investment Companies |
3 |
$5 |
0 |
$0 |
Other
Pooled Investment Vehicles |
12 |
$1,962 |
3 |
$821 |
Other
Accounts |
8 |
$466 |
0 |
$0 |
Short
Duration Fund | ||||
Timothy
E. Smith(11)
|
|
|
|
|
Other
Registered Investment Companies |
11 |
$7,403 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$4,019 |
0 |
$0 |
Other
Accounts |
58 |
$19,570 |
0 |
$0 |
Marc
K. Piccuirro |
|
|
|
|
Other
Registered Investment Companies |
1 |
$291 |
0 |
$0 |
Other
Pooled Investment Vehicles |
1 |
$53 |
0 |
$0 |
Other
Accounts |
75 |
$18,883 |
0 |
$0 |
Small
Cap Growth Fund | ||||
David
A. Siegle |
|
|
|
|
Other
Registered Investment Companies |
12 |
$20,701 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$1,618 |
0 |
$0 |
Other
Accounts |
16 |
$3,851 |
2 |
$877 |
Douglas
W. McLane |
|
|
|
|
Other
Registered Investment Companies |
12 |
$20,701 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,119 |
3 |
$366 |
Other
Accounts |
16 |
$3,851 |
2 |
$877 |
Mammen
Chally(2)
|
|
|
|
|
Other
Registered Investment Companies |
12 |
$20,701 |
0 |
$0 |
Other
Pooled Investment Vehicles |
11 |
$1,618 |
0 |
$0 |
Other
Accounts |
17 |
$3,863 |
2 |
$877 |
Small
Cap Value Fund | ||||
Sean
Kammann |
|
|
|
|
Other
Registered Investment Companies |
2 |
$110 |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$144 |
3 |
$105 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Small
Company Fund | ||||
Ranjit
Ramachandran |
|
|
|
|
Other
Registered Investment Companies |
6 |
$972 |
0 |
$0 |
Other
Pooled Investment Vehicles |
6 |
$1,653 |
0 |
$0 |
Other
Accounts |
5 |
$1,547 |
0 |
$0 |
Strategic
Income Fund | ||||
Campe
Goodman |
|
|
|
|
Other
Registered Investment Companies |
18 |
$10,165 |
0 |
$0 |
Other
Pooled Investment Vehicles |
16 |
$8,899 |
0 |
$0 |
Other
Accounts |
43 |
$14,981 |
1 |
$270 |
Joseph
F. Marvan |
|
|
|
|
Other
Registered Investment Companies |
20 |
$25,203 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Other
Pooled Investment Vehicles |
23 |
$8,888 |
0 |
$0 |
Other
Accounts |
68 |
$28,008 |
1 |
$270 |
Robert
D. Burn |
|
|
|
|
Other
Registered Investment Companies |
18 |
$10,165 |
0 |
$0 |
Other
Pooled Investment Vehicles |
14 |
$7,829 |
0 |
$0 |
Other
Accounts |
40 |
$14,790 |
1 |
$270 |
Sustainable
Municipal Bond Fund | ||||
Brad
W. Libby | ||||
Other
Registered Investment Companies |
4 |
$2,349 |
0 |
$0 |
Other
Pooled Investment Vehicles |
1 |
$3 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Timothy
D. Haney(9)
| ||||
Other
Registered Investment Companies |
3 |
$2,071 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
119 |
$47,310 |
0 |
$0 |
Elizabeth
J. Kleinerman(10)
|
|
|
|
|
Other
Registered Investment Companies |
2 |
$1,704 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
77 |
$17,002 |
0 |
$0 |
Total
Return Bond Fund | ||||
Joseph
F. Marvan |
|
|
|
|
Other
Registered Investment Companies |
20 |
$24,295 |
0 |
$0 |
Other
Pooled Investment Vehicles |
23 |
$8,888 |
0 |
$0 |
Other
Accounts |
68 |
$28,008 |
1 |
$270 |
Campe
Goodman |
|
|
|
|
Other
Registered Investment Companies |
18 |
$9,257 |
0 |
$0 |
Other
Pooled Investment Vehicles |
16 |
$8,899 |
0 |
$0 |
Other
Accounts |
43 |
$14,981 |
1 |
$270 |
Robert
D. Burn |
|
|
|
|
Other
Registered Investment Companies |
18 |
$9,257 |
0 |
$0 |
Other
Pooled Investment Vehicles |
14 |
$7,829 |
0 |
$0 |
Other
Accounts |
40 |
$14,790 |
1 |
$270 |
Jeremy
Forster(12)
|
|
|
|
|
Other
Registered Investment Companies |
9 |
$2,893 |
0 |
$0 |
Other
Pooled Investment Vehicles |
14 |
$581 |
0 |
$0 |
Other
Accounts |
48 |
$7,106 |
1 |
$270 |
World
Bond Fund | ||||
Mark
H. Sullivan |
|
|
|
|
Other
Registered Investment Companies |
3 |
$3,402 |
0 |
$0 |
Other
Pooled Investment Vehicles |
34 |
$12,039 |
15 |
$7,363 |
Other
Accounts |
25 |
$1,119 |
8 |
$592 |
Martin
Harvey |
|
|
|
|
Other
Registered Investment Companies |
7 |
$1,800 |
0 |
$0 |
Other
Pooled Investment Vehicles |
22 |
$6,209 |
1 |
$206 |
Other
Accounts |
32 |
$14,578 |
8 |
$4,727 |
Marion
Pelata(13)
|
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$6,747 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Mario
E. Abularach |
Matthew
C. Hand |
Kevin
F. Murphy |
Matthew
G. Baker |
Timothy
D. Haney** |
Marc
K. Piccuirro |
Michael
V. Barry |
Matthew
D. Hudson |
Philip
W. Ruedi |
Robert
D. Burn |
Adam
H. Illfelder |
James
H. Shakin |
Mammen
Chally*
|
Alyssa
Irving |
Thomas
S. Simon |
Nicolas
M. Choumenkovitch* |
Sean
Kammann |
Timothy
E. Smith* |
Andrew
M. Corry |
Brij
S. Khurana |
Scott
I. St. John |
David
J. Elliott |
Elizabeth
J. Kleinerman |
Tara
C. Stilwell |
Connor
Fitzgerald |
Nataliya
Kofman |
Mark
H. Sullivan |
Gregory
J. Garabedian |
G.
Thomas Levering |
Rebecca
D. Sykes |
Brian
M. Garvey |
Joseph
F. Marvan |
Gregg
R. Thomas |
Jason
M. Goins |
Douglas
W. McLane |
Mark
A. Whitaker |
Campe
Goodman |
Loren
L. Moran |
|
Christopher
R. Grohe |
Stephen
Mortimer |
|
FUND |
BENCHMARK(S)
/ PEER GROUPS FOR INCENTIVE PERIOD(1)
|
Balanced
Income Fund |
Russell
1000 Value Index (Reckmeyer, Illfelder, and Hand)
Lipper
Equity Income (Reckmeyer, Illfelder, and Hand)
Bloomberg
Corporate Index (80%); Bloomberg US Corporate High Yield Bond 2%
Issuer
Capped Index (10%); JP Morgan Emerging Markets Bond Index Plus
(10%)
(St. John) |
Balanced
Retirement Fund |
Bloomberg
US Aggregate Bond (70%) and MSCI ACWI Index (Net)
(30%) |
Capital
Appreciation Fund |
Russell
3000 Index
Lipper
Multi-Cap Core |
Climate
Opportunities Fund |
MSCI
ACWI Index (Net) |
Core
Equity Fund
|
S&P
500 Index
Lipper
Large Cap Core |
Dividend
and Growth Fund |
S&P
500 Index
Morningstar
Large Cap Value
|
FUND |
BENCHMARK(S)
/ PEER GROUPS FOR INCENTIVE PERIOD(1) |
Dynamic
Bond Fund |
40%
Bloomberg Intermediate US Corporate Index; 25% Bloomberg Intermediate
US
Treasury Index; 20% Bloomberg High Yield Corporate Index; 15% JP Morgan
CEMBI
Broad Diversified Index |
Emerging
Markets Equity Fund |
MSCI
Emerging Markets Index (Net)
Lipper
Emerging Markets Funds |
Emerging
Markets Local Debt Fund
|
JP
Morgan GBI Emerging Markets Global Diversified Index (70%); JP Morgan
Corporate
Emerging Market Bond Index-Broad Diversified (30%); JP Morgan
Government
Bond Index – Emerging Markets Global Diversified Currency Return
(30%) |
Equity
Income Fund |
Russell
1000 Value Index
Lipper
Equity Income
|
Floating
Rate Fund |
Morningstar
LSTA Leveraged Loan Index
Lipper
Loan Participation Funds |
Global
Impact Fund
|
MSCI
ACWI Index (Net) |
Growth
Opportunities Fund |
Russell
3000 Growth Index
Lipper
Multi-Cap Growth
|
Healthcare
Fund |
S&P
Composite 1500 Health Care Index
Lipper
Global Health/Biotechnology
|
High
Yield Fund |
Bloomberg
US Corporate High Yield Bond Index
Lipper
High Current Yield |
Inflation
Plus Fund |
Bloomberg
US TIPS 1-10 Year Index
Lipper
TIPS |
International
Equity Fund |
MSCI
ACWI ex USA Index (Net)
Lipper
International Multi-Cap Core |
International
Growth Fund |
MSCI
ACWI ex USA Growth Index (Net)
Lipper
International Multi-Cap Growth
|
International
Opportunities Fund |
MSCI
ACWI ex USA Index (Net)
Lipper
International Large-Cap Core
|
International
Value Fund
|
MSCI
EAFE Value Index (Net)
Lipper
International Multi-Cap Value |
Low
Duration High Income Fund |
50%
ICE BoA 1-3 Year BB-B US Cash Pay High Yield Index/ 50% Lipper Short
Duration
High Yield |
MidCap
Fund |
S&P
MidCap 400 Index; Russell Midcap Growth Index
Morningstar
Mid Cap Growth
|
MidCap
Value Fund |
Russell
Midcap Value Index
Lipper
Mid-Cap Value |
Multi-Asset
Income Fund |
MSCI
ACWI (Net) (35%); Bloomberg US Aggregate Bond Index (35%); BofA
Global
High Yield Constrained USD Hedged (10%); JP Morgan Emerging Markets
Bond
Index Plus (10%); S&P LSTA Leveraged Loan Index (10%)
(Wilke)
Bloomberg
US Government/Credit Index (Moran) |
Municipal
Opportunities Fund
|
Bloomberg
Municipal Bond 1-15 Year (1-17) Index (80%) and Bloomberg High
Yield
Municipal (20%)
Lipper
Intermediate Municipal Debt
|
Municipal
Short Duration Fund |
Bloomberg
Municipal Bond Short 1-5 Year Index
Lipper
Short Municipal Debt |
Real
Asset Fund |
MSCI
ACWI Commodity Producers Index (Net) (30%); Bloomberg US TIPS 1-10
Year
Index (40%); MSCI World IMI Core Real Estate Index (Net) (10%); MSCI
ACWI
Infrastructure Index (Net) (10%); Bloomberg Commodity Index Total Return
(10%) |
Short
Duration Fund |
Bloomberg
1-3 Year US Government/Credit Index (50%); Bloomberg 1-5 Year
Credit
Index (35%); Morningstar LSTA Leveraged Loan Index (15%)
Lipper
Short Investment Grade Debt |
Small
Company Fund |
Russell
2000 Growth Index
Lipper
Small Cap Growth |
Small
Cap Growth Fund |
Russell
2000 Growth Index
Lipper
Small Cap Growth |
Small
Cap Value Fund |
Russell
2000 Value Index
Lipper
Small Cap Value |
Strategic
Income Fund |
Bloomberg
Intermediate US Treasury (33.33%); Bloomberg Emerging Markets
USD
Sovereign BBB+ and lower (33.33%); Bloomberg High Yield 2% Issuer
Capped
(33.33%)
Lipper
Multi-Sector Income
|
FUND |
BENCHMARK(S)
/ PEER GROUPS FOR INCENTIVE PERIOD(1) |
Sustainable
Municipal Bond Fund |
Bloomberg
US Municipal Bond Index (90%) and Bloomberg High Yield Municipal
(10%):
(50%)
Lipper
General Muni Debt: (50%) |
Total
Return Bond Fund |
Bloomberg
US Aggregate Bond Index
Lipper
Core Bond Funds
|
World
Bond Fund |
Bloomberg
Global Aggregate Bond (80% USD
Hedged) |
PORTFOLIO
MANAGER |
FUND(S)
SUB-ADVISED |
DOLLAR
RANGE OF EQUITY SECURITIES
BENEFICIALLY
OWNED |
Mario
E. Abularach |
Growth
Opportunities Fund |
$100,001-$500,000 |
Matthew
G. Baker |
Dividend
and Growth Fund |
$100,001-$500,000 |
Michael
V. Barry |
High
Yield Fund |
$100,001-$500,000 |
Tyler
J. Brown |
International
Value Fund |
$100,001-$500,000 |
Robert
D. Burn |
Strategic
Income Fund
Total
Return Bond Fund |
$100,001-$500,000
$10,001-$50,000 |
Mammen
Chally(1)
|
Core
Equity Fund
Small
Cap Growth Fund |
Over
$1,000,000
$500,001-$1,000,000 |
Tarit
Rao-Chakravorti |
International
Value Fund |
$10,001-$50,000 |
Nicolas
M. Choumenkovitch(2)
|
International
Opportunities Fund |
None |
Andrew
M. Corry |
International
Value Fund |
$500,001-$1,000,000 |
David
J. Elliott(3)
|
Emerging
Markets Equity Fund |
None |
Connor
Fitzgerald |
Dynamic
Bond Fund |
Over
$1,000,000 |
Jeremy
Forster(4)
|
Inflation
Plus Fund
Total
Return Bond Fund |
$10,001-$50,000
None |
Gregory
J. Garabedian |
MidCap
Value Fund |
$100,001-$500,000 |
Brian
M. Garvey |
Real
Asset Fund |
$50,001-$100,000 |
Jason
M. Goins |
Global
Impact Fund |
$100,001-$500,000 |
Campe
Goodman |
Strategic
Income Fund
Total
Return Bond Fund |
$500,001-$1,000,000
$10,001-$50,000 |
Mark
S. Goodman(5)
|
MidCap
Value Fund |
None |
Christopher
R. Grohe(6)
|
Emerging
Markets Equity Fund |
None |
Matthew
C. Hand |
Balanced
Income Fund
Equity
Income Fund |
$100,001-$500,000
$100,001-$500,000 |
Timothy
D. Haney(7)
|
Municipal
Opportunities Fund
Municipal
Short Duration Fund
Sustainable
Municipal Bond Fund |
$10,001-$50,000
$500,001-$1,000,000
$10,001-$50,000 |
Martin
Harvey |
World
Bond Fund |
None |
Michael
T. Henry |
Emerging
Markets Local Debt Fund |
$100,001-$500,000 |
Jeffrey
W. Heuer |
Floating
Rate Fund |
$50,001-$100,000 |
Alan
Hsu |
Climate
Opportunities Fund |
$100,001-$500,000 |
Matthew
D. Hudson |
International
Growth Fund |
Over
$1,000,000 |
Adam
H. Illfelder |
Balanced
Income Fund
Equity
Income Fund |
$100,001-$500,000
$100,001-$500,000 |
Alyssa
Irving(8)
|
Low
Duration High Income Fund |
None |
Sean
Kammann |
Small
Cap Value Fund |
$500,001-$1,000,000 |
David
M. Khtikian |
Healthcare
Fund |
$10,001-$50,000 |
Brij
S. Khurana |
Inflation
Plus Fund |
None |
Elizabeth
J. Kleinerman(9)
|
Municipal
Opportunities Fund
Municipal
Short Duration Fund
Sustainable
Municipal Bond Fund |
None
None
None |
Nataliya
Kofman |
Dividend
and Growth Fund |
None |
G.
Thomas Levering |
Climate
Opportunities Fund |
None |
PORTFOLIO
MANAGER |
FUND(S)
SUB-ADVISED |
DOLLAR
RANGE OF EQUITY SECURITIES
BENEFICIALLY
OWNED |
Brad
W. Libby |
Municipal
Opportunities Fund
Municipal
Short Duration Fund
Sustainable
Municipal Bond Fund |
$1-$10,000
$1-$10,000
$1-$10,000 |
David
B. Marshak |
Floating
Rate Fund |
$500,001-$1,000,000 |
Joseph
F. Marvan |
Inflation
Plus Fund
Strategic
Income Fund
Total
Return Bond Fund |
None
$100,001-$500,000
Over
$1,000,000 |
Douglas
W. McLane |
Core
Equity Fund
Small
Cap Growth Fund |
$100,001-$500,000
$100,001-$500,000 |
Loren
L. Moran |
Multi-Asset
Income Fund |
$100,001-$500,000 |
Stephen
Mortimer |
Growth
Opportunities Fund |
Over
$1,000,000 |
Fayyaz
Mujtaba |
Healthcare
Fund |
$100,001-$500,000 |
Kevin
F. Murphy |
Emerging
Markets Local Debt Fund |
$100,001-$500,000 |
Marion
Pelata(10)
|
World
Bond Fund |
None |
Nicholas
J. Petrucelli |
Real
Asset Fund |
$50,001-$100,000 |
Marc
K. Piccuirro(8)
|
Low
Duration High Income Fund
Short
Duration Fund |
None
$10,001-$50,000 |
Ranjit
Ramachandran |
Small
Company Fund |
$10,001-$50,000 |
Veenu
Ramchandani(11)
|
Capital
Appreciation Fund |
None |
Schuyler
S. Reece(12)
|
Dynamic
Bond Fund |
None |
Philip
W. Ruedi |
MidCap
Fund |
$500,001-$1,000,000 |
Brian
J. Schmeer |
Dividend
and Growth Fund |
$50,001-$100,000 |
James
H. Shakin |
International
Value Fund |
$100,001-$500,000 |
Wen
Shi |
Healthcare
Fund |
$50,001-$100,000 |
David
A. Siegle |
Core
Equity Fund
Small
Cap Growth Fund |
$10,001-$50,000
$50,001-$100,000 |
Thomas
S. Simon |
Capital
Appreciation Fund
International
Equity Fund |
$50,001-$100,000
$50,001-$100,000 |
Timothy
E. Smith(13)
|
Short
Duration Fund |
$10,001-$50,000 |
Scott
I. St. John |
Balanced
Income Fund |
$500,001-$1,000,000 |
Tara
C. Stilwell |
Global
Impact Fund
International
Opportunities Fund |
$500,001-$1,000,000
$500,001-$1,000,000 |
Mark
H. Sullivan |
World
Bond Fund |
$100,001-$500,000 |
Rebecca
D. Sykes |
Healthcare
Fund |
$100,001-$500,000 |
Gregg
R. Thomas |
Capital
Appreciation Fund
International
Equity Fund |
$100,001-$500,000
$100,001-$500,000 |
Mark
A. Whitaker |
MidCap
Fund |
$100,001-$500,000 |
Lutz-Peter
Wilke |
Balanced
Retirement Fund
Multi-Asset
Income Fund |
$1-$10,000
$1-$10,000 |
Mark
A. Yarger |
Emerging
Markets Equity Fund
|
$100,001-$500,000 |
Capital
Appreciation Fund | ||
Additional
Sleeve Portfolio Managers |
Investment
Style |
Compensation
Benchmarks/Peer Group* |
Stephen
Mortimer |
Growth |
Russell
3000 Growth Index / Lipper Multi-
Cap
Core |
Gregory
J. Garabedian |
Value |
Russell 2500
Value Index / Lipper Multi-
Cap
Core |
Don
Kilbride |
Quality |
Russell
1000 Index / Lipper Multi-Cap Core |
Matthew
G. Baker |
Value |
Russell 1000
Value Index / Lipper Multi-
Cap
Core |
Philip
W. Ruedi |
Growth |
Russell
3000 Index / Lipper Multi-Cap
Core |
International
Equity Fund | ||
Additional
Sleeve Portfolio Managers |
Investment
Style |
Compensation
Benchmarks/Peer Group* |
Matthew
D. Hudson |
Growth |
MSCI
ACWI ex USA Growth Index (Net) /
Lipper
International Multi-Cap Core |
Bo
Meunier |
Growth |
MSCI
Emerging Markets Index / Lipper
International
Multi-Cap Core |
James
H. Shakin |
Value |
MSCI
EAFE Index (Net) / Lipper
International
Multi-Cap Core |
Peter
Fisher |
Quality |
MSCI EAFE
Index (Net) / Lipper
International
Multi-Cap Core |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS IN
ACCOUNTS
WHERE
ADVISORY
FEE IS
BASED
ON ACCOUNT
PERFORMANCE
(in
millions) |
Climate
Opportunities Fund
| ||||
Simon
Webber |
|
|
|
|
Other
Registered Investment Companies |
7 |
$19,892 |
2 |
$12,856 |
Other
Pooled Investment Vehicles |
6 |
$4,319 |
5 |
$4,275 |
Other
Accounts |
17 |
$6,203 |
1 |
$1,615 |
Isabella
Hervey-Bathurst |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
2 |
$2,925 |
0 |
$0 |
Other
Accounts |
3 |
$614 |
0 |
$0 |
Fund
/ Portfolio Managers |
Benchmark |
Climate
Opportunities Fund / Simon Webber
and
Isabella Hervey-Bathurst |
MSCI
ACWI Index (Net) |
FUND
NAME |
2023(1)
|
2022(1)
|
2021(1)
|
Balanced
Income Fund |
$2,152,488 |
$1,808,729 |
$1,322,069 |
Balanced
Retirement Fund |
$20,693 |
$30,573 |
$23,189 |
Capital
Appreciation Fund
|
$1,744,160 |
$2,130,881 |
$1,807,560 |
Checks
and Balances Fund |
$12,068 |
$28,327 |
$18,448 |
Climate
Opportunities Fund |
$35,929 |
$39,763 |
$36,627 |
Conservative
Allocation Fund |
$1,581 |
$9,939 |
$1,245 |
Core
Equity Fund
|
$1,170,015 |
$800,156 |
$655,400 |
Dividend
and Growth Fund
|
$2,735,617 |
$1,948,034 |
$1,227,740 |
Dynamic
Bond Fund |
$8,848 |
$3,817(2)
|
N/A |
Emerging
Markets Equity Fund |
$343,024 |
$373,798 |
$407,024 |
Emerging
Markets Local Debt
Fund |
$1,661 |
$2,468 |
$2,556 |
Equity
Income Fund
|
$1,606,293 |
$912,320 |
$540,497 |
FUND
NAME |
2023(1) |
2022(1) |
2021(1) |
Floating
Rate Fund
|
$11,059 |
$9,803 |
$22,397 |
Global
Impact Fund |
$53,230 |
$63,139 |
$42,310 |
Growth
Allocation Fund |
$13,233 |
$61,492 |
$6,948 |
Growth
Opportunities Fund |
$1,411,746 |
$1,779,537 |
$1,888,487 |
Healthcare
Fund
|
$337,439 |
$512,600 |
$735,453 |
High
Yield Fund |
$1,575 |
$268 |
$497 |
Inflation
Plus Fund
|
$42,527 |
$53,675 |
$32,714 |
International
Equity Fund |
$151,620 |
$218,804 |
$354,565 |
International
Growth Fund
|
$68,531 |
$135,442 |
$158,251 |
International
Opportunities Fund
|
$2,464,468 |
$3,411,131 |
$4,315,012 |
International
Value Fund |
$1,341,484 |
$969,998 |
$782,600 |
Low
Duration High Income Fund |
$3,927 |
$4,192 |
$11,811 |
MidCap
Fund
|
$1,684,017 |
$4,109,829 |
$3,087,154 |
MidCap
Value Fund
|
$543,542 |
$486,550 |
$343,538 |
Moderate
Allocation Fund |
$6,202 |
$33,993 |
$4,058 |
Multi-Asset
Income Fund |
$130,112 |
$77,552 |
$352,591 |
Municipal
Opportunities Fund |
$0 |
$0 |
$0 |
Municipal
Short Duration Fund |
$0 |
$0 |
$0 |
Real
Asset Fund |
$98,016 |
$142,793 |
$139,092 |
Short
Duration Fund |
$47,572 |
$59,009 |
$53,951 |
Small
Cap Growth Fund |
$236,260 |
$286,975 |
$391,457 |
Small
Cap Value Fund
|
$88,663 |
$90,181 |
$89,821 |
Small
Company Fund
|
$233,107 |
$651,197 |
$813,721 |
Strategic
Income Fund |
$336,418 |
$418,990 |
$262,064 |
Sustainable
Municipal Bond
Fund |
$0 |
$0 |
$0 |
Total
Return Bond Fund |
$336,123 |
$349,019 |
$213,589 |
World
Bond Fund |
$1,198,278 |
$978,373 |
$772,053 |
FUND
|
COMMISSIONS
PAID TO FIRMS
SELECTED
IN RECOGNITION OF
RESEARCH
SERVICES |
TOTAL
AMOUNT OF TRANSACTIONS
TO
FIRMS SELECTED IN RECOGNITION OF
RESEARCH
SERVICES |
Balanced
Income Fund* |
$924,978 |
$2,948,890,374 |
Balanced
Retirement Fund* |
$5,255 |
$18,904,000 |
Capital
Appreciation Fund* |
$1,090,349 |
$5,287,112,264 |
Checks
and Balances Fund |
$0 |
$0 |
Climate
Opportunities Fund** |
$17,507 |
$111,003,269 |
Conservative
Allocation Fund |
$0 |
$0 |
Core
Equity Fund* |
$508,733 |
$3,484,637,899 |
Dividend
and Growth Fund* |
$1,396,578 |
$5,098,248,681 |
Dynamic
Bond Fund* |
$0 |
$0 |
Emerging
Markets Equity Fund* |
$276,254 |
$560,359,563 |
Emerging
Markets Local Debt
Fund* |
$0 |
$0 |
Equity
Income Fund* |
$791,987 |
$2,574,362,712 |
Floating
Rate Fund* |
$0 |
$0 |
Global
Impact Fund* |
$34,669 |
$103,335,738 |
Growth
Allocation Fund |
$0 |
$0 |
Growth
Opportunities Fund* |
$881,727 |
$5,373,776,577 |
Healthcare
Fund* |
$166,415 |
$630,148,205 |
High
Yield Fund* |
$1,046 |
$1,005,981 |
Inflation
Plus Fund* |
$0 |
$0 |
International
Equity Fund* |
$93,175 |
$229,267,294 |
International
Growth Fund* |
$34,297 |
$126,168,119 |
International
Opportunities Fund* |
$1,604,388 |
$3,733,449,786 |
International
Value Fund* |
$885,327 |
$1,851,436,191 |
Low
Duration High Income Fund* |
$0 |
$0 |
MidCap
Fund* |
$1,150,467 |
$5,068,637,516 |
MidCap
Value Fund* |
$325,779 |
$1,161,635,839 |
Moderate
Allocation Fund |
$0 |
$0 |
Multi-Asset
Income Fund* |
$55,801 |
$250,256,492 |
Municipal
Opportunities Fund* |
$0 |
$0 |
Municipal
Short Duration Fund* |
$0 |
$0 |
Real
Asset Fund* |
$47,942 |
$125,569,561 |
Short
Duration Fund* |
$0 |
$0 |
Small
Cap Growth Fund* |
$153,027 |
$411,776,911 |
Small
Cap Value Fund* |
$37,841 |
$84,498,380 |
Small
Company Fund* |
$145,334 |
$355,812,606 |
Strategic
Income Fund* |
$116 |
$3,455,820 |
Sustainable
Municipal Bond
Fund* |
$0 |
$0 |
Total
Return Bond Fund* |
$0 |
$0 |
World
Bond Fund* |
$0 |
$0 |
FUND
|
REGULAR
BROKER OR DEALER
|
AGGREGATE
VALUE
|
Balanced
Income Fund | ||
|
Bank
of America Securities LLC |
$155,043,269 |
|
Barclay
Investments, Inc. |
$33,579,613 |
|
Citigroup
Global Markets, Inc. |
$89,900,757 |
|
Goldman
Sachs & Co. |
$172,970,371 |
|
J.P.
Morgan Securities, Inc. |
$313,464,929 |
|
Morgan
Stanley & Co., Inc. |
$209,235,688 |
|
RBC
Capital Markets, LLC |
$62,924,619 |
|
UBS
AG |
$52,719,473 |
Balanced
Retirement Fund | ||
|
Bank
of America Securities LLC |
$238,271 |
|
Citigroup
Global Markets, Inc. |
$399,181 |
|
Goldman
Sachs & Co. |
$1,174,410 |
|
J.P.
Morgan Securities, Inc. |
$800,187 |
|
Morgan
Stanley & Co., Inc. |
$31,100 |
Capital
Appreciation Fund | ||
|
J.P.
Morgan Securities, Inc. |
$36,545,941 |
|
Morgan
Stanley & Co., Inc. |
$24,414,487 |
Checks
and Balances Fund | ||
|
N/A |
N/A |
Climate
Opportunities Fund | ||
|
Morgan
Stanley & Co., Inc. |
$1,080,321 |
Conservative
Allocation Fund | ||
|
N/A |
N/A |
Core
Equity Fund | ||
|
Bank
of America Securities LLC |
$120,414,153 |
|
J.P.
Morgan Securities, Inc. |
$188,486,930 |
|
Morgan
Stanley & Co., Inc. |
$115,574,345 |
Dividend
and Growth Fund | ||
|
Bank
of America Securities LLC |
$162,649,447 |
|
J.P.
Morgan Securities, Inc. |
$346,253,281 |
|
Morgan
Stanley & Co., Inc. |
$171,002,326 |
Dynamic
Bond Fund | ||
|
Barclay
Investments, Inc. |
$199,923 |
|
Citigroup
Global Markets, Inc. |
$231,628 |
|
Goldman
Sachs & Co. |
$802,965 |
|
UBS
AG |
$509,777 |
Emerging
Markets Equity Fund | ||
|
N/A |
N/A |
Emerging
Markets Local Debt Fund | ||
|
N/A |
N/A |
Equity
Income Fund | ||
|
Goldman
Sachs & Co. |
$48,911,571 |
|
J.P.
Morgan Securities, Inc. |
$130,689,283 |
|
Morgan
Stanley & Co., Inc. |
$55,383,506 |
|
RBC
Capital Markets, LLC |
$50,718,536 |
Floating
Rate Fund | ||
|
N/A |
N/A |
Global
Impact Fund | ||
|
N/A |
N/A |
Growth
Allocation Fund | ||
|
N/A |
N/A |
FUND
|
REGULAR
BROKER OR DEALER |
AGGREGATE
VALUE |
Growth
Opportunities Fund | ||
|
N/A |
N/A |
Healthcare
Fund | ||
|
N/A |
N/A |
High
Yield Fund | ||
|
Morgan
Stanley & Co., Inc. |
$1,733,985 |
|
UBS
AG |
$1,809,191 |
Inflation
Plus Fund | ||
|
Bank
of America Securities LLC |
$317,792 |
|
Goldman
Sachs & Co. |
$263,515 |
|
J.P.
Morgan Securities, Inc. |
$373,081 |
International
Equity Fund | ||
|
RBC
Capital Markets, LLC |
$2,522,620 |
|
UBS
AG |
$1,777,246 |
International
Growth Fund | ||
|
N/A |
N/A |
International
Opportunities Fund | ||
|
N/A |
N/A |
International
Value Fund | ||
|
UBS
AG |
$42,732,179 |
Low
Duration High Income Fund | ||
|
N/A |
N/A |
MidCap
Fund | ||
|
N/A |
N/A |
MidCap
Value Fund | ||
|
N/A |
N/A |
Moderate
Allocation Fund | ||
|
N/A |
N/A |
Multi-Asset
Income Fund | ||
|
Bank
of America Securities LLC |
$2,189,034 |
|
Barclay
Investments, Inc. |
$519,045 |
|
Citigroup
Global Markets, Inc. |
$1,367,009 |
|
Goldman
Sachs & Co. |
$3,864,565 |
|
J.P.
Morgan Securities, Inc. |
$8,558,945 |
|
Morgan
Stanley & Co., Inc. |
$1,722,074 |
|
UBS
AG |
$2,362,317 |
Municipal
Opportunities Fund | ||
|
N/A |
N/A |
Municipal
Short Duration Fund | ||
|
N/A |
N/A |
Real
Asset Fund | ||
|
UBS
AG |
$89,098 |
Short
Duration Fund | ||
|
Bank
of America Securities LLC |
$29,558,359 |
|
Barclay
Investments, Inc. |
$10,811,251 |
|
Citigroup
Global Markets, Inc. |
$1,039,217 |
|
Goldman
Sachs & Co. |
$14,297,034 |
|
J.P.
Morgan Securities, Inc. |
$22,566,497 |
|
Morgan
Stanley & Co., Inc. |
$19,286,209 |
|
UBS
AG |
$13,704,484 |
Small
Cap Growth Fund | ||
|
N/A |
N/A |
Small
Cap Value Fund | ||
|
N/A |
N/A |
Small
Company Fund | ||
|
N/A |
N/A |
FUND
|
REGULAR
BROKER OR DEALER |
AGGREGATE
VALUE |
Strategic
Income Fund | ||
|
Bank
of America Securities LLC |
$525,623 |
|
Barclay
Investments, Inc. |
$3,183,940 |
|
Citigroup
Global Markets, Inc. |
$149,626 |
|
Goldman
Sachs & Co. |
$9,889,653 |
|
J.P.
Morgan Securities, Inc. |
$1,888,921 |
|
Morgan
Stanley & Co., Inc. |
$3,589,854 |
|
UBS
AG |
$7,477,910 |
Sustainable
Municipal Bond Fund | ||
|
N/A |
N/A |
Total
Return Bond Fund | ||
|
Bank
of America Securities LLC |
$33,870,248 |
|
Barclay
Investments, Inc. |
$3,111,712 |
|
Citigroup
Global Markets, Inc. |
$507,623 |
|
Goldman
Sachs & Co. |
$19,868,843 |
|
J.P.
Morgan Securities, Inc. |
$30,970,292 |
|
Morgan
Stanley & Co., Inc. |
$27,641,704 |
|
UBS
AG |
$13,826,745 |
World
Bond Fund | ||
|
Bank
of America Securities LLC |
$404,450 |
|
Citigroup
Global Markets, Inc. |
$2,953,667 |
|
Goldman
Sachs & Co. |
$1,182,324 |
|
J.P.
Morgan Securities, Inc. |
$10,903,062 |
|
Morgan
Stanley & Co., Inc. |
$3,725,904 |
Fund |
Class
A |
Class
C |
Class
R3 |
Class
R4 |
Balanced
Income Fund |
$10,628,013 |
$18,766,272 |
$652,143 |
$170,532 |
Balanced
Retirement Fund |
$144,848 |
$57,164 |
$2,504 |
$362 |
Capital
Appreciation Fund |
$10,454,740 |
$781,256 |
$146,263 |
$66,907 |
Checks
and Balances Fund |
$2,989,921 |
$660,241 |
$45,532 |
$7,839 |
Climate
Opportunities Fund |
$81,082 |
$24,860 |
$459 |
$24 |
Conservative
Allocation Fund |
$220,093 |
$59,493 |
$7,322 |
$1,475 |
Core
Equity Fund |
$3,709,929 |
$4,127,204 |
$273,755 |
$312,199 |
Dividend
and Growth Fund |
$11,091,304 |
$1,852,711 |
$262,353 |
$225,971 |
Dynamic
Bond Fund |
$602 |
$7,239 |
N/A |
N/A |
Emerging
Markets Equity Fund |
$65,987 |
$11,993 |
$1,250 |
$272 |
Emerging
Markets Local Debt Fund |
$7,621 |
$6,913 |
$0 |
$0 |
Equity
Income Fund |
$4,662,841 |
$1,285,242 |
$139,037 |
$104,635 |
Floating
Rate Fund |
$1,530,634 |
$666,592 |
$13,432 |
$5,302 |
Global
Impact Fund |
$120,615 |
$15,493 |
$28,053 |
$2,718 |
Growth
Allocation Fund |
$1,139,643 |
$178,334 |
$29,388 |
$4,671 |
Growth
Opportunities Fund |
$5,141,674 |
$1,196,857 |
$154,870 |
$110,887 |
Healthcare
Fund |
$1,712,666 |
$681,865 |
$117,019 |
$36,581 |
High
Yield Fund |
$588,595 |
$111,889 |
$7,809 |
$2,208 |
Inflation
Plus Fund |
$445,559 |
$163,018 |
$128,550 |
$8,994 |
International
Equity Fund |
$1,215,494 |
$82,954 |
$52,009 |
$7,920 |
International
Growth Fund |
$265,412 |
$19,899 |
$2,563 |
$4,133 |
International
Opportunities Fund |
$1,016,714 |
$148,058 |
$133,019 |
$176,895 |
International
Value Fund |
$236,868 |
$48,610 |
$4,047 |
$12,771 |
Low
Duration High Income Fund |
$177,071 |
$132,697 |
$103 |
$941 |
MidCap
Fund |
$5,551,006 |
$1,789,904 |
$303,749 |
$157,373 |
MidCap
Value Fund |
$977,757 |
$66,243 |
$30,945 |
$17,437 |
Moderate
Allocation Fund |
$679,042 |
$93,111 |
$55,567 |
$6,165 |
Multi-Asset
Income Fund |
$1,186,421 |
$303,940 |
$2,873 |
$1,795 |
Municipal
Opportunities Fund |
$969,950 |
$272,914 |
N/A |
N/A |
Municipal
Short Duration Fund |
$80,627 |
$6,554 |
N/A |
N/A |
Real
Asset Fund |
$74,352 |
$24,046 |
$670 |
$29 |
Short
Duration Fund |
$1,919,872 |
$396,374 |
$4,092 |
$12,840 |
Small
Cap Growth Fund |
$383,970 |
$16,431 |
$29,210 |
$27,128 |
Small
Cap Value Fund |
$122,704 |
$17,556 |
$3,209 |
$300 |
Small
Company Fund |
$743,936 |
$36,408 |
$51,510 |
$21,719 |
Fund |
Class
A |
Class
C |
Class
R3 |
Class
R4 |
Strategic
Income Fund |
$667,591 |
$550,468 |
$16,636 |
$22,303 |
Sustainable
Municipal Bond Fund |
$68,185 |
$25,819 |
N/A |
N/A |
Total
Return Bond Fund |
$2,485,727 |
$66,595 |
$17,220 |
$22,226 |
World
Bond Fund |
$696,162 |
$185,046 |
$5,454 |
$4,226 |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
5.50% |
5.82% |
4.75% |
$50,000
or more but less than $100,000
|
4.50% |
4.71% |
4.00% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more but less than $500,000
|
2.50% |
2.56% |
2.00% |
$500,000
or more but less than $1 million
|
2.00% |
2.04% |
1.75% |
$1
million or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
5.50% |
5.82% |
4.75% |
$50,000
or more but less than $100,000
|
4.50% |
4.71% |
4.00% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more but less than $500,000
|
2.50% |
2.56% |
2.00% |
$500,000
or more but less than $1 million
|
2.00% |
2.04% |
1.75% |
$1
million or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
5.50% |
5.82% |
4.75% |
$50,000
or more but less than $100,000
|
4.50% |
4.71% |
4.00% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
4.50% |
4.71% |
3.75% |
$50,000
or more but less than $100,000
|
4.00% |
4.17% |
3.50% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more but less than $500,000
|
2.50% |
2.56% |
2.00% |
$500,000
or more but less than $1 million
|
2.00% |
2.04% |
1.75% |
$1
million or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
3.00% |
3.09% |
2.50% |
$50,000
or more but less than $100,000
|
2.50% |
2.56% |
2.00% |
$100,000
or more but less than $250,000
|
2.25% |
2.30% |
1.75% |
$250,000
or more but less than $500,000
|
1.75% |
1.78% |
1.25% |
$500,000
or more but less than $1 million
|
1.25% |
1.27% |
1.00% |
$1
million or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $250,000
|
2.00% |
2.04% |
1.50% |
$250,000
or more but less than $500,000
|
1.50% |
1.52% |
1.00% |
$500,000
or more(1)
|
0% |
0% |
See
below |
YEAR/CLASS |
FRONT-END
SALES COMMISSIONS |
CDSC |
AMOUNT
REALLOWED |
AMOUNT
RETAINED |
2023 |
|
|
|
|
Class
A |
$17,729,286 |
$362,537 |
$15,127,875 |
$2,963,948 |
Class
C |
N/A |
$158,652 |
N/A |
$158,652 |
2022 |
|
|
|
|
Class
A |
$25,760,347 |
$493,376 |
$21,906,362 |
$4,347,362 |
Class
C |
N/A |
$321,825 |
N/A |
$321,825 |
2021 |
|
|
|
|
Class
A |
$35,139,599 |
$221,645 |
$29,811,436 |
$5,549,808 |
Class
C |
N/A |
$298,206 |
N/A |
$298,206 |
FUND |
SHORT-TERM
CAPITAL LOSS CARRYFORWARD
WITH
NO EXPIRATION |
LONG-TERM
CAPITAL LOSS CARRYFORWARD
WITH
NO EXPIRATION |
Balanced
Income Fund |
$17,414,286 |
$0 |
Balanced
Retirement Fund*
|
$22,987,519 |
$4,442,924 |
Capital
Appreciation Fund |
$0 |
$15,300,417 |
Climate
Opportunities Fund |
$4,039,025 |
$1,592,723 |
Conservative
Allocation Fund |
$0 |
$1,712,216 |
Dynamic
Bond Fund |
$0 |
$158,131 |
Emerging
Markets Equity Fund
|
$56,167,877 |
$11,027,476 |
Emerging
Markets Local Debt Fund |
$20,421,287 |
$56,816,945 |
Floating
Rate Fund |
$51,824,411 |
$546,770,142 |
Global
Impact Fund*
|
$13,900,707 |
$22,043,719 |
Growth
Allocation Fund |
$0 |
$3,980,862 |
Growth
Opportunities Fund |
$551,256,267 |
$228,679,091 |
Healthcare
Fund |
$3,928,889 |
$11,183,982 |
High
Yield Fund |
$4,788,776 |
$35,607,136 |
Inflation
Plus Fund |
$14,684,841 |
$73,884,329 |
International
Equity Fund |
$22,324,454 |
$7,990,328 |
International
Growth Fund |
$16,983,963 |
$12,993,271 |
International
Opportunities Fund |
$317,405,442 |
$0 |
International
Value Fund |
$7,994,979 |
$211,821,448 |
Low
Duration High Income Fund |
$9,659,679 |
$79,241,336 |
Moderate
Allocation Fund |
$0 |
$4,803,791 |
Multi-Asset
Income Fund |
$29,420,313 |
$12,906,336 |
Municipal
Opportunities Fund |
$34,903,489 |
$39,508,630 |
Municipal
Short Duration Fund |
$327,726 |
$304,450 |
Real
Asset Fund*
|
$12,370,071 |
$92,506,454 |
Short
Duration Fund |
$1,864,701 |
$29,929,093 |
Small
Company Fund |
$130,923,194 |
$12,074,572 |
Strategic
Income Fund*
|
$190,907,687 |
$326,676,436 |
Sustainable
Municipal Bond Fund |
$2,988,217 |
$2,793,976 |
Total
Return Bond Fund |
$171,830,931 |
$123,394,669 |
World
Bond Fund |
$57,905,402 |
$105,808,029 |
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
Balanced
Income Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
6.72% |
|
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
12.59% |
|
|
12.15% |
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
43.02% |
|
|
|
|
|
|
|
91.72% |
EMPOWER
TRUST FBO EMPLOYEE BENEFIT CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
37.79% |
|
|
|
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
12.27% |
|
7.05% |
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
5.09% |
|
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
33.82% |
|
|
|
|
|
JOHN
HANCOCK LIFE INSURANCE CO USA
BOSTON
MA |
|
|
|
|
|
|
10.78% |
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
5.16% |
7.10% |
11.33% |
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
47.32% |
14.67% |
|
12.78% |
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
10.35% |
|
|
13.47% |
6.71% |
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
5.38% |
6.78% |
11.10% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
6.90% |
7.19% |
9.49% |
|
6.65% |
6.46% |
24.52% |
35.35% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
7.30% |
6.73% |
|
|
|
|
13.10% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
11.49% |
14.43% |
|
|
|
|
|
|
THE
HARTFORD
HARTFORD
CT
|
|
|
|
|
23.42% |
|
8.30% |
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
5.13% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
11.36% |
33.78% |
11.89% |
|
|
|
|
|
|
Balanced
Retirement Fund | |||||||||
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
37.69% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
39.41% |
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
25.68% |
|
|
|
|
|
|
|
82.68% |
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
|
|
100.00% |
100.00% |
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
63.45% |
|
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
12.95% |
8.55% |
18.46% |
|
|
|
|
|
|
MARIL
& CO FBO
MILWAUKEE
WI
|
|
|
|
|
|
|
|
44.73% |
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
10.72% |
|
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
21.43% |
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
|
7.64% |
15.66% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
6.90% |
18.87% |
8.72% |
|
|
|
|
40.41% |
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
PERSHING
LLC
JERSEY
CITY NJ
|
7.41% |
6.69% |
|
|
|
|
|
13.26% |
15.60% |
RAYMOND
JAMES
ST
PETERSBURG FL
|
5.04% |
42.33% |
24.06% |
|
|
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
10.12% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
6.18% |
|
6.59% |
|
|
|
|
|
|
Capital
Appreciation Fund
| |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
5.33% |
|
|
|
|
32.29% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
6.46% |
|
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
39.02% |
|
|
|
|
|
|
|
29.69% |
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
23.07% |
6.26% |
|
|
|
THE
HARTFORD CHECKS AND BALANCES FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
64.45% |
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
40.90% |
35.93% |
69.96% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
5.09% |
6.60% |
6.67% |
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
6.33% |
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
FOLSOM
CA
|
|
|
|
|
|
5.53% |
|
|
|
MATRIX
TRUST COMPANY TRUSTEE FBO EPLAN SVCS
GROUP
TRUST
PHOENIX
AZ
|
|
|
|
|
|
|
|
5.02% |
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
10.47% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
|
7.75% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
6.03% |
|
10.85% |
|
|
|
|
32.65% |
|
NATIONWIDE
TRUST COMPANY FSB
CHARLOTTE
NC |
|
|
|
|
|
|
63.79% |
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
5.96% |
13.26% |
5.68% |
|
|
|
|
18.24% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
11.14% |
11.77% |
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
|
6.90% |
|
|
|
|
THE
HARTFORD
HARTFORD
CT
|
|
|
|
|
|
|
13.62% |
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
10.94% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
6.97% |
17.49% |
18.61% |
|
|
|
|
|
|
Checks
and Balances Fund | |||||||||
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
31.00% |
6.03% |
|
|
|
CAPITAL
BANK & TRUST CO TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
|
14.19% |
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
5.96% |
|
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
|
|
|
|
|
|
82.99% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
50.13% |
8.42% |
|
|
|
|
|
|
|
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD VILLAGE CO
|
|
|
|
|
|
10.45% |
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
56.76% |
25.96% |
|
|
|
|
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
|
53.73% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
7.69% |
6.58% |
19.45% |
|
9.05% |
|
|
|
|
MATRIX
TRUST COMPANY CUST. FBO
DENVER
CO
|
|
|
|
5.24% |
|
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
MID
ATLANTIC TRUST COMPANY FBO LEARY & SHAH
DDS
LLC 401(K) PROFIT
PITTSBURGH
PA
|
|
|
|
5.22% |
|
|
|
|
|
[REDACTED]
TTEE
GREENWOOD
VLG CO
|
|
|
|
|
13.62% |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
6.92% |
10.80% |
27.35% |
|
|
|
|
|
9.68% |
PERSHING
LLC
JERSEY
CITY NJ
|
5.27% |
10.67% |
|
|
|
|
|
|
7.14% |
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
11.04% |
24.33% |
|
|
5.67% |
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
|
|
24.11% |
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
5.11% |
14.08% |
|
|
|
|
|
|
|
Climate
Opportunities Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
7.11% |
22.79% |
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
16.93% |
|
|
|
|
|
CAPITAL
BANK & TRUST CO FBO
GREENWOOD
VLG CO
|
|
|
|
64.82% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
6.59% |
|
|
|
|
|
|
68.36% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
14.36% |
|
|
5.58% |
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
41.65% |
9.96% |
|
|
|
|
|
|
92.62% |
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
97.90% |
40.56% |
|
|
EMPOWER
TRUST FBO LAM DESIGN ASSOCIATES INC
PSP
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
19.72% |
|
|
GERLACH
& CO LLC/CITIBANK OPEN
TAMPA
FL
|
|
|
|
|
|
|
14.26% |
|
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
|
96.02% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
17.94% |
5.21% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
18.50% |
|
30.89% |
|
|
|
|
15.63% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
37.83% |
20.56% |
|
|
|
|
13.41% |
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
|
18.03% |
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
10.24% |
5.17% |
|
|
|
|
|
|
Conservative
Allocation Fund
| |||||||||
[REDACTED]
GRIMES
IA
|
|
8.40% |
|
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
11.33% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
10.46% |
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
38.22% |
7.25% |
|
|
|
|
|
|
|
[REDACTED]
WOLCOTT
CT
|
|
|
7.87% |
|
|
|
|
|
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
|
|
|
|
|
8.33% |
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
82.09% |
81.28% |
99.99% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
6.60% |
6.97% |
27.47% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
|
8.21% |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
7.99% |
14.24% |
10.49% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
6.91% |
6.22% |
|
|
|
|
|
91.67% |
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
9.28% |
17.39% |
|
|
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
|
15.69% |
|
|
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
5.66% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
7.32% |
21.31% |
|
|
|
|
|
|
|
Core
Equity Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
6.74% |
|
|
|
|
|
|
CAPITAL
BANK & TRUST COMPANY TTEE
GREENWOOD
VILLAGE CO
|
|
|
|
5.04% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
5.04% |
|
|
|
7.15% |
|
5.47% |
19.74% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
7.28% |
|
6.24% |
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
43.18% |
|
|
|
|
|
|
|
79.27% |
EMPOWER
TRUST FBO EMPLOYEE BENEFIT CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
7.93% |
|
|
12.77% |
|
|
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
17.67% |
|
|
|
|
LINCOLN
INVESTMENT PLANNING LLC
FT
WASHINGTON PA
|
|
|
|
|
|
|
|
5.54% |
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
7.99% |
12.56% |
|
|
|
|
|
|
MINNESOTA
LIFE INSURANCE COMPANY
SAINT
PAUL MN
|
|
|
|
|
|
5.96% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
|
|
7.83% |
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
5.64% |
12.37% |
11.92% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
8.27% |
7.57% |
14.08% |
|
|
69.05% |
9.77% |
19.88% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
9.18% |
|
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
14.77% |
|
|
|
|
33.88% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
13.92% |
16.51% |
|
|
|
|
|
|
SPECIAL
RESERVE PARTNERS II LLC
WHITE
PLAINS NY
|
|
|
|
|
|
|
|
8.09% |
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
30.55% |
21.19% |
|
|
|
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
|
8.18% |
|
|
VOYA
INSTITUTIONAL TRUST CO
WINDSOR
CT
|
|
|
|
|
|
|
17.90% |
|
|
VOYA
INSTITUTIONAL TRUST COMPANY
BRAINTREE
MA
|
|
|
|
|
9.51% |
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
5.61% |
23.70% |
7.36% |
|
|
|
|
|
|
Dividend
and Growth Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
10.27% |
|
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
5.02% |
|
8.49% |
|
7.63% |
22.44% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
9.89% |
|
|
|
|
|
8.04% |
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
|
|
7.46% |
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
61.94% |
|
|
|
|
|
|
|
69.27% |
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
6.61% |
|
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT PLANS
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
6.94% |
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
THE
HARTFORD CHECKS AND BALANCES FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
7.64% |
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
46.34% |
14.45% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
7.90% |
12.21% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
FOLSOM
CA
|
|
|
|
|
7.15% |
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
10.97% |
35.68% |
5.48% |
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
13.23% |
18.11% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
12.42% |
6.22% |
|
7.12% |
15.14% |
50.97% |
|
NATIONWIDE
TRUST COMPANY FSB
CHARLOTTE
NC |
|
|
|
|
|
|
6.74% |
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
11.06% |
7.98% |
|
|
|
|
14.75% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
12.06% |
8.30% |
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
11.39% |
12.96% |
|
|
|
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
31.70% |
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
23.30% |
5.99% |
|
|
|
|
|
|
Dynamic
Bond Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC*
MINNEAPOLIS
MN
|
9.31% |
13.84% |
30.18% |
|
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
|
26.17% |
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
26.68% |
51.43% |
|
|
|
100.00% |
100.00% |
9.60% |
33.98% |
LPL
FINANCIAL
SAN
DIEGO CA
|
6.13% |
|
17.57% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST*
NEW
YORK NY
|
37.82% |
24.57% |
30.63% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
|
|
|
|
|
58.55% |
|
NATIONAL
FINANCIAL SERVICES LLC
QUINCY
MA
|
|
|
17.62% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
7.93% |
|
|
|
|
|
|
|
|
[REDACTED]
BOISE
ID |
|
5.99% |
|
|
|
|
|
|
|
WELLINGTON
FINANCE & TREASURY LLC PARTNER-
SHIP**
BOSTON
MA
|
|
|
|
|
|
|
|
|
66.02% |
Emerging
Markets Equity Fund | |||||||||
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
|
|
6.02% |
|
|
C/O
TIAA-SWP SEI PRIVATE TRUST COMPANY*
OAKS
PA
|
|
|
|
|
|
|
|
|
95.51% |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
12.74% |
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
57.81% |
|
|
|
|
|
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
30.21% |
|
|
|
|
GOLDMAN
SACHS & CO
SALT
LAKE CITY UT
|
|
|
|
|
|
|
|
13.83% |
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
|
|
31.28% |
|
|
|
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
|
|
7.08% |
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
6.08% |
|
7.31% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
|
18.91% |
|
13.40% |
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
|
|
|
20.51% |
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
|
|
44.13% |
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
11.84% |
66.33% |
|
|
9.51% |
|
|
|
PERSHING
LLC*
JERSEY
CITY NJ
|
|
11.37% |
|
|
|
|
|
83.60% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
13.03% |
|
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
96.41% |
44.46% |
59.21% |
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
9.96% |
|
|
|
|
|
|
UMB
BANK NA
LA
GRANGE KY
|
|
7.37% |
|
|
|
|
|
|
|
Emerging
Markets Local Debt Fund | |||||||||
CAPINCO
MILWAUKEE
WI
|
|
|
|
|
|
|
|
43.20% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
6.94% |
|
|
|
|
|
|
42.21% |
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
39.78% |
8.68% |
|
|
|
|
|
|
95.00% |
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
100.00% |
100.00% |
100.00% |
|
|
|
INTERACTIVE
BROKERS LLC
GREENWICH
CT
|
|
|
7.21% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
20.36% |
59.68% |
29.47% |
|
|
|
|
14.55% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
8.99% |
|
|
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
|
5.09% |
|
|
|
|
|
|
RELIANCE
TRUST CO FBO
ATLANTA
GA
|
|
|
23.37% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
5.22% |
19.00% |
11.85% |
|
|
|
|
|
|
Equity
Income Fund | |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
6.21% |
5.25% |
23.84% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
14.89% |
7.24% |
8.07% |
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
63.56% |
|
|
|
|
|
|
|
80.13% |
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
6.87% |
6.80% |
|
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
|
19.33% |
|
|
|
FIIOC
TTEE
COVINGTON
KY
|
|
|
|
|
|
|
|
5.11% |
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
33.82% |
14.62% |
|
|
|
|
JOHN
HANCOCK LIFE INSURANCE
BOSTON
MA
|
|
|
|
|
|
|
6.27% |
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
10.87% |
25.66% |
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
10.51% |
|
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
13.63% |
12.96% |
5.37% |
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
5.79% |
|
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
6.26% |
16.32% |
|
|
19.22% |
18.25% |
26.73% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
9.99% |
8.33% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
11.19% |
14.88% |
|
|
|
|
|
|
RELIANCE
TRUST CO FBO HUNTINGTON NATIONAL
BANK
ATLANTA
GA
|
|
|
|
|
|
|
|
10.90% |
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
STATE
STREET BANK CUSTODIAN
BOSTON
MA
|
|
|
|
|
|
9.17% |
|
|
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
5.28% |
|
|
|
|
|
|
|
THE
OZARK TRUST COMPANY
LITTLE
ROCK AR
|
|
|
|
|
|
|
|
7.51% |
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
|
5.11% |
|
|
VOYA
INSTITUTIONAL TRUST CO
WINDSOR
CT
|
|
|
|
7.68% |
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
24.78% |
7.95% |
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
7.22% |
Floating
Rate Fund | |||||||||
[REDACTED]
TTEE
GREENWOOD
VLG CO
|
|
|
|
|
|
17.15% |
|
|
|
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
5.69% |
|
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
59.31% |
|
|
|
|
C/O
BMO HARRIS SWP
OAKS
PA
|
|
|
|
|
|
|
|
|
18.51% |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
|
51.01% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
|
|
|
|
|
|
7.22% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
12.26% |
|
|
|
|
|
|
|
24.42% |
FIIOC
COVINGTON
KY
|
|
|
|
|
|
18.40% |
|
|
|
FIIOC
FBO
COVINGTON
KY
|
|
|
|
|
5.77% |
|
|
|
|
INTERACTIVE
BROKERS LLC
GREENWICH
CT
|
|
|
|
|
|
|
|
8.39% |
|
LPL
FINANCIAL
SAN
DIEGO CA
|
9.18% |
10.79% |
5.27% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY CUST FBO MCKENNETT
FORSBERG
& VOLL PC PSP
DENVER
CO
|
|
|
|
10.33% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
19.04% |
|
5.62% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
6.94% |
7.31% |
19.91% |
|
7.87% |
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
12.53% |
9.15% |
12.38% |
31.82% |
|
|
|
|
|
MORI
& CO
KANSAS
CITY MO
|
|
|
|
|
|
|
|
|
13.66% |
MORI
& CO FBO FID ERISA
KANSAS
CITY MO
|
|
|
|
|
|
|
|
|
8.86% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
9.27% |
8.77% |
12.40% |
|
|
15.72% |
|
9.65% |
19.44% |
PERSHING
LLC
JERSEY
CITY NJ
|
7.07% |
9.89% |
7.35% |
13.35% |
|
|
|
27.40% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
5.69% |
13.66% |
5.04% |
|
|
|
|
|
|
RBC
CAPITAL MARKETS LLC
MINNEAPOLIS
MN
|
|
|
|
5.15% |
|
|
|
|
|
[REDACTED]
TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
|
11.50% |
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
11.76% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
13.27% |
16.60% |
6.62% |
|
|
|
|
|
|
Global
Impact Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
5.83% |
|
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
|
17.33% |
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
5.51% |
|
19.93% |
|
|
|
9.94% |
35.35% |
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
41.01% |
5.60% |
|
|
|
|
|
|
96.50% |
EMPOWER
TRUST FBO
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
42.99% |
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
9.66% |
8.46% |
|
|
|
FIIOC
FBO
COVINGTON
KY
|
|
|
|
|
|
24.96% |
|
|
|
FIIOC
FBO
COVINGTON
KY
|
|
|
|
|
|
43.83% |
|
|
|
[REDACTED]
TTEE
GREENWOOD
VLG CO
|
|
|
|
|
12.38% |
|
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
44.54% |
23.63% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
6.72% |
5.21% |
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
|
11.26% |
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
24.33% |
|
|
|
|
|
[REDACTED]
TTEE
GREENWOOD
VLG CO
|
|
|
|
|
34.69% |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
5.88% |
22.34% |
55.13% |
|
|
|
36.98% |
49.04% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
6.55% |
|
|
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
|
|
|
|
|
10.90% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
19.84% |
|
|
|
|
|
|
|
Growth
Allocation Fund | |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
5.30% |
5.46% |
|
|
|
|
|
60.02% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
25.03% |
|
|
|
|
|
|
|
28.26% |
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
14.85% |
|
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
86.36% |
73.78% |
99.29% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
6.80% |
7.85% |
21.12% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
9.24% |
|
12.85% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
6.07% |
|
|
|
|
|
11.72% |
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
|
24.74% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
5.44% |
17.16% |
|
|
|
|
|
|
Growth
Opportunities Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
5.04% |
|
|
|
|
|
|
|
AMERICAN
UNITED LIFE INS CO GROUP RETIREMENT
ACCOUNT
INDIANAPOLIS
IN
|
|
|
|
|
|
|
6.31% |
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
5.66% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
37.02% |
|
11.44% |
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
30.40% |
|
|
|
|
|
|
|
77.45% |
EMPOWER
TRUST FBO EMPOWER BENEFIT PLANS
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
14.14% |
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
|
|
|
8.17% |
|
FIIOC
FBO
COVINGTON
KY
|
|
|
|
|
13.12% |
|
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
44.03% |
|
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
5.06% |
15.17% |
26.69% |
|
|
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
|
|
|
13.41% |
|
|
MATRIX
TRUST COMPANY CUST FBO
PHOENIX
AZ
|
|
|
|
|
|
|
5.60% |
|
|
MATRIX
TRUST COMPANY TRUSTEE FBO
PHOENIX
AZ
|
|
|
|
|
|
8.40% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
6.02% |
17.71% |
|
|
8.83% |
5.10% |
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
|
5.58% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
5.08% |
5.97% |
9.15% |
|
|
7.13% |
|
31.12% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
8.82% |
5.75% |
|
|
13.10% |
|
6.20% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
10.47% |
8.62% |
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
17.58% |
8.94% |
|
12.73% |
|
|
THE
HARTFORD
HARTFORD
CT
|
|
|
|
|
44.35% |
|
23.27% |
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
5.17% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
20.25% |
7.79% |
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
17.08% |
Healthcare
Fund | |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
|
|
|
|
|
|
7.91% |
CITY
OF MANCHESTER
MANCHESTER
NH
|
|
|
|
|
|
9.07% |
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
36.52% |
|
|
|
|
|
|
|
35.13% |
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
46.71% |
|
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT PLANS
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
5.13% |
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
26.07% |
19.52% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
5.83% |
9.10% |
18.81% |
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
7.84% |
|
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
11.82% |
|
20.09% |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
7.31% |
6.87% |
8.99% |
|
|
12.81% |
93.26% |
12.62% |
51.09% |
PERSHING
LLC
JERSEY
CITY NJ
|
6.99% |
14.25% |
10.84% |
|
|
|
|
72.83% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
8.18% |
34.04% |
25.37% |
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
47.20% |
43.20% |
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
9.09% |
|
|
|
|
|
|
|
High
Yield Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
47.22% |
|
|
|
|
|
|
[REDACTED]
FBO FOREFRONT INC 401(K) PROFIT
SHARING
FAIR
HAVEN NJ |
|
|
|
|
27.78% |
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
|
42.60% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
5.17% |
|
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
69.14% |
|
|
|
|
|
|
|
91.35% |
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
28.90% |
5.08% |
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
FIIOC
COVINGTON
KY
|
|
|
|
|
|
37.58% |
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
15.11% |
21.02% |
|
|
|
|
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
|
39.12% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
10.80% |
13.27% |
|
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
5.33% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO FULCRUM
TECHNOLOGY
SOLUTIONS, LLC
PITTSBURGH
PA
|
|
|
|
11.33% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO ISOMETRIC
COMPANIES
INC 401(K) PROF
PITTSBURGH
PA
|
|
|
|
|
27.86% |
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO L&H
MANUFACTURING
PITTSBURGH
PA
|
|
|
|
9.17% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
8.31% |
|
|
10.20% |
|
25.72% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
7.34% |
54.99% |
10.96% |
|
|
|
|
17.16% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
|
5.77% |
|
|
|
|
|
|
RELIANCE
TRUST COMPANY FBO
ATLANTA
GEORGIA
|
|
|
|
|
|
|
93.23% |
|
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
7.71% |
|
|
|
|
|
|
|
UMB
BANK NA
MILFORD
TX
|
|
|
|
|
|
|
|
8.92% |
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
5.08% |
Inflation
Plus Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
6.06% |
6.21% |
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
28.15% |
|
|
|
|
|
|
|
21.66% |
FIIOC
COVINGTON
KY
|
|
|
|
|
|
7.56% |
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
88.69% |
66.07% |
|
|
|
|
JOHN
HANCOCK LIFE INSURANCE
BOSTON
MA
|
|
|
|
|
|
50.62% |
|
|
|
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
|
|
|
5.99% |
|
LPL
FINANCIAL
SAN
DIEGO CA
|
6.37% |
6.65% |
7.73% |
|
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
|
|
9.56% |
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
5.59% |
|
|
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
7.01% |
|
13.10% |
|
9.64% |
17.83% |
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
7.09% |
19.96% |
17.67% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
34.43% |
9.07% |
|
|
|
|
|
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
8.54% |
7.51% |
|
|
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
20.59% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
7.89% |
6.26% |
7.00% |
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
73.08% |
International
Equity Fund | |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
7.47% |
|
8.81% |
|
|
30.56% |
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
41.66% |
8.28% |
|
|
|
|
|
|
86.51% |
EMPOWER
TRUST FBO EMPLOYEE BENEFIT CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
36.37% |
|
|
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
6.01% |
|
17.37% |
25.52% |
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
7.03% |
|
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
|
26.19% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
5.26% |
6.64% |
13.55% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
|
17.27% |
|
|
|
|
MATRIX
TRUST COMPANY CUST FBO
DENVER
CO
|
|
|
|
|
|
11.95% |
|
|
|
MATRIX
TRUST COMPANY CUST FBO
DENVER
CO
|
|
|
|
|
|
5.17% |
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
|
|
7.32% |
|
|
|
MID
ATLANTIC TRUST COMPANY FBO LYNCH RETIRE-
MENT
INVESTMENT 401(K)
PITTSBURGH
PA
|
|
|
|
|
|
7.70% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
|
|
13.96% |
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
|
11.53% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
5.04% |
9.38% |
10.42% |
|
|
|
16.55% |
10.16% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
6.25% |
7.69% |
|
|
14.19% |
|
5.97% |
5.14% |
PIMS/PRUDENTIAL
RETIREMENT
BAKERSFIELD
CA
|
|
|
|
26.42% |
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
7.74% |
15.78% |
|
|
|
|
|
|
[REDACTED]
TTEE FBO
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
7.96% |
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
9.42% |
11.74% |
|
|
9.52% |
|
THE
HARTFORD
HARTFORD
CT
|
|
|
|
40.03% |
32.05% |
|
|
|
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
|
|
9.91% |
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
8.40% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
17.56% |
11.97% |
|
|
|
|
|
|
International
Growth Fund | |||||||||
AJAMIE
LLP TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
|
|
9.44% |
|
|
|
AMERICAN
UNITED LIFE INS CO GROUP RETIREMENT
ACCOUNT
INDIANAPOLIS
IN
|
|
|
|
|
|
|
63.83% |
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
61.24% |
27.59% |
|
|
|
CBNA
AS CUSTODIAN FBO JACOBS & DOW LLC
401(K)
PS PLAN
UTICA
NY
|
|
|
|
|
|
|
|
12.99% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
5.76% |
|
|
17.01% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
14.05% |
|
|
|
|
|
7.39% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
|
|
5.99% |
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
59.35% |
9.04% |
|
|
|
|
|
|
66.38% |
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
8.14% |
|
|
|
|
|
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
11.81% |
HARTFORD
MODERATE ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
5.81% |
JC
CAL COAST INC
ATASCADERO
CA
|
|
|
|
|
7.44% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
6.13% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
26.93% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO H & H TOOL,
INC.
401(K) PROFIT SHAR
PITTSBURGH
PA
|
|
|
|
|
5.39% |
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO INDOTRONIX
INTL
CORP 401(K) PROFIT
PITTSBURGH
PA
|
|
|
|
|
14.79% |
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO INTHOUGHT
RESEARCH
LLC 401(K) PROFI
PITTSBURGH
PA
|
|
|
|
12.09% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
7.48% |
|
13.89% |
|
|
17.82% |
|
24.59% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
5.32% |
|
|
9.66% |
|
6.52% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
5.51% |
9.64% |
|
|
|
|
|
|
RBC
CAPITAL MARKETS LLC
MINNEAPOLIS
MN
|
|
6.72% |
|
|
|
|
|
|
|
RELIANCE
TRUST COMPANY FBO KERSHAW 401K
ATLANTA
GA
|
|
|
|
|
|
|
7.26% |
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
14.08% |
|
26.56% |
5.45% |
17.47% |
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
9.19% |
49.85% |
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
14.12% |
International
Opportunities Fund | |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
9.15% |
|
6.09% |
6.59% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
8.33% |
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
73.16% |
7.98% |
|
|
|
|
|
|
72.90% |
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
6.74% |
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
34.40% |
7.25% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
5.72% |
|
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
21.52% |
|
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
|
8.89% |
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
7.63% |
15.71% |
|
14.05% |
35.81% |
25.77% |
39.55% |
|
NATIONWIDE
TRUST COMPANY FSB
CHARLOTTE
NC |
|
|
|
|
|
11.37% |
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
12.99% |
17.21% |
|
|
|
|
|
|
PIMS/PRUDENTIAL
RETIREMENT
FORT
WORTH TX
|
|
|
|
|
|
7.20% |
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
26.10% |
16.09% |
|
|
|
|
|
|
STANDARD
INSURANCE COMPANY
PORTLAND
OR
|
|
|
|
|
|
|
|
15.34% |
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
21.87% |
26.19% |
|
|
|
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
|
14.63% |
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
11.65% |
|
|
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
13.66% |
|
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
9.09% |
International
Value Fund
| |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
12.11% |
35.07% |
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
6.65% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
34.80% |
|
|
|
|
|
|
13.36% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
52.03% |
36.33% |
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
30.99% |
|
|
|
|
|
|
|
34.54% |
EMPOWER
TRUST FBO EMPLOYEE BENEFIT CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
63.61% |
|
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
30.96% |
|
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
11.95% |
|
|
|
|
|
FIRST
PREMIER BANK
SIOUX
SD |
|
|
|
|
|
|
|
|
5.50% |
GOLDMAN
SACHS & CO
SALT
LAKE CITY UT
|
|
|
|
|
|
|
|
21.90% |
|
JP
MORGAN SECURITIES LLC OMNIBUS AC
BROOKLYN
NY
|
|
12.27% |
|
|
|
|
|
|
27.17% |
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
6.24% |
|
|
|
|
|
|
MAC
& CO
PITTSBURGH
PA
|
|
|
|
|
|
|
84.00% |
|
|
MINNESOTA
LIFE INSURANCE COMPANY
SAINT
PAUL MN
|
|
|
|
|
|
28.89% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
25.21% |
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
7.02% |
22.49% |
20.35% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
8.63% |
|
|
|
|
37.53% |
29.78% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
32.04% |
16.31% |
|
|
|
|
|
|
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
6.92% |
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
22.98% |
6.07% |
|
|
|
|
Low
Duration High Income Fund
| |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
6.15% |
|
|
|
|
30.73% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
6.31% |
|
|
|
|
|
21.83% |
14.58% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
25.15% |
8.81% |
|
|
|
|
|
|
83.96% |
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
93.59% |
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
32.20% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
9.86% |
9.09% |
5.44% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
30.32% |
64.92% |
|
|
|
|
MG
TRUST COMPANY CUST. FBO NORTH VALLEY
HEALTH
CENTER 403(B)
DENVER
CO
|
|
|
|
6.65% |
|
|
|
|
|
[REDACTED]
OMAHA
NE |
|
|
|
12.16% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
50.86% |
|
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
9.10% |
14.52% |
12.29% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
14.64% |
7.85% |
25.49% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
5.82% |
5.69% |
20.45% |
|
|
|
|
43.14% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
6.14% |
10.86% |
|
|
|
|
|
|
|
RELIANCE
TRUST CO FBO
ATLANTA
GA
|
|
|
8.83% |
|
|
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
20.37% |
8.90% |
|
|
|
|
|
|
MidCap
Fund
| |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
|
15.41% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
7.29% |
|
|
7.16% |
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
53.31% |
7.15% |
|
|
|
|
|
|
79.29% |
EMPOWER
TRUST FBO EMPLOYEE BENEFIT CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
8.39% |
|
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
6.84% |
5.05% |
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
20.98% |
|
|
|
|
|
JOHN
HANCOCK LIFE INSURANCE CO USA
BOSTON
MA |
|
|
|
|
|
|
5.75% |
|
|
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
|
25.35% |
|
|
|
JP
MORGAN SECURITIES LLC OMNIBUS AC
BROOKLYN
NY
|
|
|
|
|
|
|
|
|
8.87% |
LPL
FINANCIAL
SAN
DIEGO CA
|
|
5.30% |
6.53% |
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
5.99% |
8.06% |
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
FOLSOM
CA
|
|
|
|
|
|
8.07% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
|
|
6.30% |
5.01% |
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
|
15.19% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
7.42% |
|
|
9.90% |
37.64% |
46.65% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
7.42% |
5.64% |
|
|
|
|
5.55% |
|
PIMS/PRUDENTIAL
RETIREMENT
BERKELEY
CA
|
|
|
|
8.38% |
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
6.67% |
32.58% |
24.37% |
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
|
6.25% |
|
|
|
|
THE
HARTFORD
HARTFORD
CT
|
|
|
|
|
7.04% |
|
|
|
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
|
7.61% |
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
11.43% |
|
|
|
|
|
|
VANGUARD
FIDUCIARY TRUST CO
VALLEY
FORGE PA
|
|
|
|
|
10.27% |
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
5.27% |
19.30% |
15.02% |
|
|
|
|
|
|
MidCap
Value Fund | |||||||||
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
29.23% |
|
36.64% |
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
|
5.87% |
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
75.20% |
32.61% |
|
|
|
|
|
|
94.43% |
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
7.61% |
|
91.14% |
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
16.60% |
22.71% |
|
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
|
9.01% |
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
6.44% |
|
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
|
37.01% |
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
|
9.23% |
|
|
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
|
|
|
8.86% |
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
25.12% |
34.79% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
6.03% |
|
|
|
|
|
|
MASSACHUSETTS
MUTUAL LIFE INSURANCE
SPRINGFIELD
MA
|
|
|
|
12.79% |
10.57% |
|
|
|
|
MATRIX
AS TTEE FBO
PHOENIX
AZ
|
|
|
|
|
|
|
|
28.54% |
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
5.36% |
35.59% |
|
|
|
|
23.87% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
8.60% |
|
|
|
|
|
|
|
PIMS/PRUDENTIAL
RETIREMENT
HARTFORD
CT
|
|
|
|
|
|
|
|
19.81% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
13.38% |
16.96% |
|
|
|
|
|
|
VANGUARD
BROKERAGE SERVICES
MALVERN
PA
|
|
|
13.75% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
17.22% |
9.85% |
|
|
|
|
|
|
Moderate
Allocation Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
5.52% |
|
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
6.25% |
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
5.68% |
|
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
|
|
|
|
|
|
45.19% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
34.30% |
|
|
|
|
|
|
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
6.25% |
6.75% |
|
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
81.31% |
85.50% |
92.10% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
6.18% |
7.90% |
11.32% |
|
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
|
|
6.88% |
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
10.01% |
|
9.39% |
|
|
|
|
|
30.13% |
PERSHING
LLC
JERSEY
CITY NJ
|
5.42% |
6.92% |
7.86% |
|
|
|
|
|
24.68% |
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
8.54% |
17.73% |
|
|
|
|
|
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
|
23.84% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
14.31% |
6.37% |
|
|
|
|
|
|
Multi-Asset
Income Fund | |||||||||
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
10.12% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
11.55% |
|
|
|
|
16.56% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
|
|
|
|
|
12.73% |
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
39.38% |
7.64% |
|
|
|
|
|
|
97.45% |
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
47.50% |
26.30% |
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
49.43% |
|
|
|
|
FIIOC
COVINGTON
KY
|
|
|
|
|
18.13% |
|
|
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
|
6.90% |
|
|
|
|
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
|
98.22% |
|
|
|
[REDACTED]
GREENWOOD
VLG CO
|
|
|
|
10.01% |
|
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
5.90% |
7.43% |
8.69% |
18.01% |
10.18% |
|
|
6.87% |
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
5.02% |
|
|
|
|
|
MATRIX
TRUST COMPANY CUST FBO LIGHT OF LIFE
MINISTRIES
INC SAVIN
DENVER
CO
|
|
|
|
13.64% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
7.82% |
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
|
|
5.88% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
6.94% |
11.99% |
|
|
|
|
16.77% |
|
NATIONWIDE
TRUST COMPANY FSB
COLUMBUS
OH
|
|
|
|
|
|
|
52.33% |
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
7.68% |
15.52% |
|
|
|
|
15.88% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
16.52% |
21.39% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
6.29% |
25.01% |
11.47% |
|
|
|
|
|
|
Municipal
Opportunities Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
11.80% |
|
|
|
|
|
|
[REDACTED]
MAPLEWOOD
MN
|
|
|
|
|
|
|
|
5.02% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
|
23.14% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
|
|
|
|
|
|
29.58% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
57.42% |
12.33% |
|
|
|
|
|
5.20% |
64.12% |
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
6.63% |
|
|
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
6.95% |
7.56% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
6.97% |
5.09% |
5.52% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
6.35% |
9.14% |
|
|
|
|
6.69% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
10.58% |
35.82% |
|
|
|
|
9.38% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
12.43% |
6.45% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
10.83% |
26.11% |
5.23% |
|
|
|
|
|
|
Municipal
Short Duration Fund | |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
9.06% |
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
75.78% |
25.95% |
|
|
|
|
|
|
92.38% |
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
30.76% |
|
|
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
MORI
& CO
KANSAS
CITY MO
|
|
|
|
|
|
|
|
|
5.55% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
6.63% |
35.80% |
13.21% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
23.65% |
19.35% |
|
|
|
|
|
|
RBC
CAPITAL MARKETS LLC
MINNEAPOLIS
MN
|
7.18% |
|
|
|
|
|
|
|
|
[REDACTED]
WESTON
MA
|
|
|
7.48% |
|
|
|
|
|
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
11.00% |
|
|
|
|
|
|
|
[REDACTED]
WESTWOOD
MA
|
|
|
13.77% |
|
|
|
|
|
|
Real
Asset Fund | |||||||||
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
20.84% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
6.41% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
25.10% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
32.93% |
|
|
|
|
|
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
8.07% |
|
CAPINCO
MILWAUKEE
WI
|
|
|
10.43% |
|
|
|
|
|
|
CHARLES
SCHWAB & CO INC*
SAN
FRANCISCO CA |
|
|
12.71% |
|
|
|
|
58.07% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
|
11.91% |
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
52.19% |
|
|
|
|
|
|
|
97.14% |
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
8.37% |
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT PLANS
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
37.50% |
|
|
FIIOC
FBO HEALTHAXIS GROUP LLC 401K PLAN
COVINGTON
KY
|
|
|
|
|
|
8.25% |
|
|
|
FIRST
STATE TRUST COMPANY
WILMINGTON
DE
|
|
|
|
|
|
|
|
5.58% |
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
|
49.18% |
|
54.13% |
|
|
JP
MORGAN SECURITIES LLC OMNIBUS AC
BROOKLYN
NY
|
|
|
11.01% |
|
|
|
|
9.56% |
|
LPL
FINANCIAL
SAN
DIEGO CA
|
5.50% |
23.63% |
|
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
|
|
61.43% |
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
6.29% |
|
23.59% |
|
50.82% |
|
|
8.89% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
5.97% |
|
|
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
5.57% |
28.71% |
|
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
31.82% |
22.55% |
|
|
|
|
|
|
Short
Duration Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
7.54% |
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
5.23% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
7.26% |
73.40% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
|
|
92.03% |
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
58.18% |
5.99% |
|
|
|
|
|
|
96.98% |
FRONTIER
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
21.53% |
|
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
FRONTIER
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
5.18% |
|
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
5.54% |
|
|
|
|
|
|
|
MATRIX
TRUST COMPANY CUST FBO
PHOENIX
AZ
|
|
|
|
|
|
9.86% |
|
|
|
MATRIX
TRUST COMPANY CUST FBO
PHOENIX
AZ
|
|
|
|
|
|
75.38% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
19.81% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
11.31% |
16.40% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
7.96% |
11.88% |
|
|
|
|
10.81% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
5.14% |
|
23.65% |
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
7.88% |
11.35% |
5.46% |
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
7.10% |
|
|
|
|
|
THE
GEORGE INSURANCE AGENCY INC
FISHERS
IN |
|
|
|
23.04% |
|
|
|
|
|
THE
GEORGE INSURANCE AGENCY INC
FISHERS
IN
|
|
|
|
24.67% |
|
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
10.00% |
|
|
|
|
|
|
UMB
BANK NA
CLAFLIN
KS
|
|
|
|
|
25.19% |
|
|
|
|
UMB
BANK NA
CLAFLIN
KS |
|
|
|
|
7.04% |
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
29.78% |
7.32% |
|
|
|
|
|
|
[REDACTED]
DEFINED BENEFIT
CLAFLIN
KS
|
|
|
|
|
35.48% |
|
|
|
|
Small
Cap Growth Fund
| |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
40.14% |
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
9.64% |
|
|
|
|
|
|
|
|
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
- FG
GREENWOOD
VILLAGE CO
|
|
|
|
|
6.35% |
|
|
|
|
EMPOWER
TRUST FBO EMPOWER BENEFIT GRAND
FATHERED
PLAN
GREENWOOD
VILLAGE CO
|
|
|
|
|
5.62% |
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
6.07% |
|
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO PASCACK DATA
SERVICES
INC 401(K) PR
PITTSBURGH
PA
|
|
|
|
5.40% |
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
8.15% |
45.59% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
5.99% |
6.79% |
6.27% |
|
|
|
86.24% |
47.04% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
29.94% |
18.20% |
|
|
|
|
|
|
PIMS/PRUDENTIAL
RETIREMENT
JACKSONVILLE
FL
|
|
|
|
46.16% |
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
15.21% |
8.46% |
|
|
|
|
|
|
RELIANCE
TRUST COMPANY FBO
ATLANTA
GEORGIA
|
|
|
|
|
|
87.58% |
|
|
|
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
31.85% |
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
6.66% |
21.63% |
|
|
|
|
VANGUARD
FIDUCIARY TRUST CO
VALLEY
FORGE PA
|
|
|
|
|
|
|
|
5.44% |
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
91.24% |
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
Small
Cap Value Fund | |||||||||
[REDACTED]
TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
|
64.00% |
|
|
|
|
[REDACTED]
TTEE FBO
GREENWOOD
VILLAGE CO
|
|
|
|
9.57% |
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
31.07% |
6.41% |
|
|
|
|
|
|
15.56% |
FIIOC
COVINGTON
KY
|
|
|
|
|
|
95.40% |
|
|
|
FIIOC
FBO
COVINGTON
KY
|
|
|
|
30.53% |
|
|
|
|
|
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
55.05% |
HARTFORD
MODERATE ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
23.09% |
[REDACTED]
TTEE FBO
GREENWOOD
VILLAGE CO
|
|
|
|
14.79% |
|
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
8.60% |
7.88% |
36.71% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AGENT FOR TRP
BIRMINGHAM
AL
|
|
|
|
6.88% |
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
MOORHEAD
MN |
|
|
|
|
|
|
24.48% |
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
7.58% |
18.25% |
|
|
|
|
MATRIX
TRUST COMPANY CUST. FBO
DENVER
CO
|
|
|
|
5.04% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO FORK LIFT
SPECIALTIES
INC 401(K) PR
PITTSBURGH
PA
|
|
|
|
7.69% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
6.84% |
7.66% |
30.84% |
|
|
|
|
75.37% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
5.66% |
15.98% |
6.44% |
|
|
|
|
21.19% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
10.74% |
|
|
|
|
|
|
|
STEVE
A FILARSKY ATTORNEY AT LAW PROFIT SHAR-
ING
PLAN
MANHATTAN
BEACH CA |
|
|
|
7.11% |
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
11.02% |
15.01% |
|
|
|
|
|
|
Small
Company Fund | |||||||||
BERKES
CRANE ROBINSON & SEL LLP TTE
GREENWOOD
VLG CO
|
|
|
|
|
|
|
14.30% |
|
|
[REDACTED]
NAPLES
FL
|
|
|
5.31% |
|
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
6.16% |
43.80% |
|
|
|
CITY
OF MANCHESTER
MANCHESTER
NH
|
|
|
|
|
|
23.77% |
|
|
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
13.60% |
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
65.58% |
13.49% |
|
|
|
|
|
|
83.23% |
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
9.75% |
|
|
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
6.57% |
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
62.05% |
53.77% |
|
|
|
|
LINCOLN
RETIREMENT SERVICES COMPANY
FORT
WAYNE IN
|
|
|
|
|
|
|
9.74% |
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
5.02% |
9.88% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY CUST. FBO JACKSON,
RENFRO
& ASSOCIATES, INC.
DENVER
CO
|
|
|
|
|
|
21.03% |
|
|
|
MATRIX
TRUST COMPANY CUST. FBO NOVATO BUILD-
ERS
SUPPLY, INC.
DENVER
CO
|
|
|
|
|
5.60% |
|
|
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
24.78% |
|
|
|
41.80% |
42.92% |
|
ONCOLOGY
NURSING CERTIFICATION
PITTSBURGH
PA
|
|
|
|
|
|
|
|
10.78% |
|
ONCOLOGY
NURSING FOUNDATION
PITTSBURGH
PA
|
|
|
|
|
|
|
|
7.89% |
|
ONCOLOGY
NURSING SOCIETY
PITTSBURGH
PA
|
|
|
|
|
|
|
|
10.70% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
11.59% |
5.91% |
|
|
|
|
13.00% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
15.15% |
6.90% |
|
|
|
|
|
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
12.04% |
|
|
|
|
|
|
|
VANGUARD
FIDUCIARY TRUST CO
VALLEY
FORGE PA
|
|
|
|
|
|
|
|
6.23% |
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
|
29.68% |
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
5.64% |
Strategic
Income Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
5.04% |
15.88% |
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
9.04% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
10.25% |
|
|
|
|
|
MAC
& CO.
ATTN
MUTUAL FUND OPERATIONS
PITTSBURGH
PA
|
|
|
|
|
|
|
8.52% |
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
5.78% |
|
7.89% |
|
|
16.76% |
12.26% |
20.08% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
61.11% |
|
11.05% |
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
37.02% |
|
|
|
|
|
|
|
40.11% |
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
6.65% |
|
|
|
|
HARTFORD
MODERATE ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
|
6.63% |
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON
MA |
|
|
|
|
|
25.37% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
6.04% |
5.96% |
13.03% |
6.12% |
|
|
|
|
|
MINNESOTA
LIFE INSURANCE COMPANY
SAINT
PAUL MN
|
|
|
|
|
|
21.43% |
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
5.87% |
|
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
13.61% |
9.76% |
13.77% |
|
|
11.10% |
22.92% |
43.04% |
21.33% |
NATIONWIDE
TRUST COMPANY FSB
COLUMBUS
OH
|
|
|
|
|
|
11.56% |
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
9.64% |
9.25% |
8.62% |
|
|
|
|
33.39% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
5.05% |
14.12% |
8.10% |
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
50.27% |
17.79% |
|
|
|
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
|
|
11.28% |
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
11.28% |
|
|
|
|
|
|
VOYA
INSTITUTIONAL TRUST CO
WINDSOR
CT
|
|
|
|
|
|
|
10.13% |
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
6.69% |
33.38% |
9.18% |
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
|
21.65% |
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
Sustainable
Municipal Bond Fund | |||||||||
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
5.08% |
|
|
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
75.90% |
26.66% |
|
|
|
|
|
|
97.91% |
LPL
FINANCIAL
SAN
DIEGO CA
|
|
34.26% |
11.37% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC*
JERSEY
CITY NJ
|
|
23.57% |
68.76% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
6.73% |
11.11% |
|
|
|
|
|
|
RBC
CAPITAL MARKETS LLC
MINNEAPOLIS
MN
|
7.68% |
|
|
|
|
|
|
|
|
Total
Return Bond Fund | |||||||||
[REDACTED]
TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
10.55% |
|
|
|
|
|
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
8.40% |
|
|
|
|
|
|
BANK
OF AMERICA CUSTODIAN FBO MFO
JACKSONVILLE
FL
|
|
|
|
|
|
|
|
15.79% |
|
C/O
BMO HARRIS SWP SEI PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
|
13.00% |
C/O
ICMA RETIREMENT CORPORATION CITY OF
MANCHESTER
WASHINGTON
DC
|
|
|
|
|
|
56.36% |
|
|
|
CAPITAL
BANK & TRUST CO TRUSTEE FBO
GREENWOOD
VLG CO
|
|
|
|
9.04% |
|
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
|
28.47% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
21.03% |
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
84.66% |
32.65% |
|
|
|
|
|
|
80.98% |
EMPOWER
TRUST FBO
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
8.46% |
|
|
GOVERNMENT
OF GUAM BOARD AS TRUSTEE
GREENWOOD
VLG CO
|
|
|
|
|
|
|
7.68% |
|
|
GOVERNMENT
OF GUAM BOARD AS TTEE FB
GREENWOOD
VLG CO
|
|
|
|
|
|
|
18.76% |
|
|
HARTFORD
LIFE INSURANCE COMPANY
HARTFORD
CT
|
|
|
|
35.17% |
32.69% |
31.82% |
|
|
|
MATRIX
TRUST COMPANY CUST FBO
DENVER
CO
|
|
|
|
|
|
9.92% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
5.89% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
5.15% |
33.82% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
|
|
|
|
34.62% |
36.90% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
6.50% |
16.60% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
17.75% |
18.36% |
|
|
|
|
|
|
RELIANCE
TRUST COMPANY FBO
ATLANTA
GEORGIA
|
|
|
|
|
20.66% |
|
|
|
|
BANK
OF AMERICA CUSTODIAN FBO MFO TTEE
DALLAS
TX |
|
|
|
|
|
|
|
5.22% |
|
World
Bond Fund | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
7.21% |
|
|
|
|
|
|
AMERICAN
UNITED LIFE INS CO GROUP RETIREMENT
ACCOUNT
INDIANAPOLIS IN
|
|
|
|
|
17.76% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
5.79% |
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
5.96% |
|
|
|
10.07% |
|
8.25% |
31.22% |
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
12.62% |
34.88% |
|
5.37% |
|
|
FUND
/ SHAREHOLDER |
Class
A
|
Class
C
|
Class
I
|
Class
R3
|
Class
R4
|
Class
R5
|
Class
R6
|
Class
Y
|
Class
F
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
73.07% |
8.76% |
|
|
|
|
|
|
87.72% |
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
14.64% |
|
|
|
FIIOC
FBO
COVINGTON
KY
|
|
|
|
|
5.21% |
|
|
|
|
LINCOLN
RETIREMENT SERVICES COMPANY
FORT
WAYNE IN
|
|
|
|
|
|
|
5.17% |
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
10.29% |
8.77% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
9.71% |
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
FOLSOM
CA
|
|
|
|
|
|
7.68% |
|
|
|
MATRIX
TRUST COMPANY CUST FBO
DENVER
CO
|
|
|
|
7.66% |
|
17.21% |
|
|
|
MATRIX
TRUST COMPANY CUST FOR
PHOENIX
AZ
|
|
|
|
|
|
8.91% |
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
5.33% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
11.86% |
10.87% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
15.26% |
14.14% |
23.61% |
|
42.55% |
33.70% |
47.63% |
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
9.53% |
16.20% |
|
|
|
|
8.99% |
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
8.34% |
13.40% |
|
|
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
|
6.71% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
25.05% |
|
|
|
|
|
|
|
|
Class
A |
Class
C |
Class
I |
Class
SDR |
Class
R3 |
Class
R4 |
Class
R5 |
Class
Y |
Class
F |
Hartford
Schroders China A
Fund |
HSHAX |
HSHCX |
HSHIX |
HSHRX |
— |
— |
— |
HSHYX |
HSHFX |
Hartford
Schroders Core
Fixed
Income Fund (formerly
Hartford
Schroders
Sustainable
Core Bond
Fund) |
— |
— |
HSAEX |
SCBRX |
HSACX |
HSSBX |
HSADX |
SCBIX |
HSSFX |
Hartford
Schroders
Diversified
Emerging
Markets
Fund |
HSXAX |
HSXCX |
HSXIX |
HSDEX |
— |
— |
— |
HSXYX |
HSXFX |
Hartford
Schroders
Diversified
Growth Fund |
— |
— |
HFIGX |
HFSGX |
— |
— |
— |
— |
— |
Hartford
Schroders
Emerging
Markets Equity
Fund
|
SEMVX |
HHHCX |
SEMNX |
SEMTX |
HHHRX |
HHHSX |
HHHTX |
HHHYX |
HHHFX |
Hartford
Schroders
Emerging
Markets Multi-
Sector
Bond Fund |
SMSVX |
HFZCX |
SMSNX |
SMSRX |
HFZRX |
HFZSX |
HFZTX |
HFZYX |
HFZFX |
Hartford
Schroders
International
Contrarian
Value
Fund |
HFAJX |
HFAEX |
HFSIX |
HFSSX |
— |
— |
HFAFX |
HFAHX |
HFSFX |
Hartford
Schroders
International
Multi-Cap Value
Fund |
SIDVX |
HFYCX |
SIDNX |
SIDRX |
HFYRX |
HFYSX |
HFYTX |
HFYYX |
HFYFX |
Hartford
Schroders
International
Stock Fund |
SCVEX |
HSWCX |
SCIEX |
SCIJX |
HSWRX |
HSWSX |
HSWTX |
HSWYX |
HSWFX |
Hartford
Schroders
Sustainable
International
Core
Fund |
— |
— |
HSISX |
HSIDX |
— |
— |
— |
— |
— |
Hartford
Schroders Tax-
Aware
Bond Fund |
STWVX |
HFKCX |
STWTX |
HFKVX |
— |
— |
— |
HFKYX |
HFKFX |
Hartford
Schroders US
MidCap
Opportunities Fund |
SMDVX |
HFDCX |
SMDIX |
SMDRX |
HFDRX |
HFDSX |
HFDTX |
HFDYX |
HFDFX |
Hartford
Schroders US
Small
Cap Opportunities
Fund |
SCUVX |
HOOCX |
SCUIX |
SCURX |
HOORX |
HOOSX |
HOOTX |
HOOYX |
HOOFX |
|
Page
No. |
3
| |
4
| |
6
| |
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| |
63
| |
65
| |
74
| |
74
| |
78
| |
79
| |
80
| |
80
| |
87
| |
89
| |
89
| |
93
| |
94
| |
94
| |
96
| |
102
| |
102
| |
102
| |
102
| |
102
| |
102
| |
102
| |
104
| |
106
| |
111 |
Fund*
|
Predecessor
Fund |
Inception
Date |
Predecessor
Fund
Shareholder
Meeting Date |
Reorganization
Date |
Hartford
Schroders Core
Fixed
Income Fund (“Core
Fixed
Income Fund”)**
|
Schroder
Core Bond Fund |
January
31, 2018 |
October
28, 2021 and
adjourned
to November 3,
2021 |
After
the close of
business
on November
12,
2021 |
Hartford
Schroders
Emerging
Markets Equity
Fund
(“Emerging Markets
Equity
Fund”) |
Schroder
Emerging
Market
Equity Fund |
March
31, 2006 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders
Emerging
Markets Multi-
Sector
Bond Fund
(“Emerging
Markets Multi-
Sector
Bond Fund”) |
Schroder
Emerging
Markets
Multi-Sector
Bond
Fund |
June
25, 2013 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders
International
Multi-Cap
Value
Fund (“International
Multi-Cap
Value Fund”) |
Schroder
International
Multi-Cap
Value Fund |
August
30, 2006 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders
International
Stock Fund
(“International
Stock
Fund”) |
Schroder
International
Alpha
Fund |
December
19, 1985 |
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders Tax-
Aware
Bond Fund (“Tax-
Aware
Bond Fund”) |
Schroder
Broad Tax-Aware
Value
Bond Fund |
October
3, 2011***
|
October
11, 2016 and
adjourned
to October 13,
2016 |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders US
MidCap
Opportunities
Fund
(“US MidCap
Opportunities
Fund”) |
Schroder
U.S. Small and
Mid
Cap Opportunities
Fund |
March
31, 2006 |
October
11, 2016 and
adjourned
to October 13,
2016, |
Before
the opening of
business
on October 24,
2016 |
Hartford
Schroders US
Small
Cap Opportunities
Fund
(“US Small Cap
Opportunities
Fund”) |
Schroder
U.S.
Opportunities
Fund |
August
6, 1993 |
October
11, 2016 and
adjourned
to October 13,
2016, |
Before
the opening of
business
on October 24,
2016 |
|
China
A Fund |
Core
Fixed Income Fund |
Diversified
Emerging Markets Fund |
Diversified
Growth Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Multi-Sector Bond Fund |
International
Contrarian Value Fund |
International
Multi-Cap Value Fund |
International
Stock Fund |
Sustainable
International Core Fund |
Tax-Aware
Bond Fund |
US
MidCap Opportunities Fund |
US
Small Cap Opportunities Fund |
Active
Investment Manage-
ment
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Active
Trading Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Asset
Allocation Risk |
|
|
|
X |
|
|
|
|
|
|
|
|
|
Asset-Backed
Securities Risk |
|
X |
|
X |
|
X |
|
|
X |
|
X |
|
|
Collateralized
Debt Obliga-
tions
(CDOs) Risk |
|
X |
|
X |
|
X |
|
|
X |
|
X |
|
|
Asset
Coverage Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Bond
Forwards Risk |
|
X |
|
X |
|
|
|
|
|
|
X |
|
|
Borrowing
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Call
Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Commodities
Regulatory
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Commodities
Related Invest-
ments
Risk |
|
|
|
X |
|
|
|
|
|
|
|
|
|
Convertible
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Contingent
Convertibles
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Synthetic
Convertibles Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Counterparty
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit
Risk Transfer Securi-
ties
Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Currency
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Cybersecurity
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Depositary
Receipts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Derivatives
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Hedging
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Options
Contracts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Linked Notes Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Futures
Contracts and
Options
on Futures
Contracts
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Swap
Agreements and
Swaptions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation-Linked
Instru-
ments
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Hybrid
Instruments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Credit-Linked
Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Indexed
Securities and
Structured
Notes Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Event-Linked
Bonds Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Foreign
Currency Transac-
tions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
P-Notes
and Non-Standard
Warrants
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risk
Factors in Derivative
Instruments |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Additional
Risk Factors and
Considerations
of OTC
Transactions |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Dividend
Risk |
X |
|
X |
X |
X |
|
X |
X |
X |
X |
|
X |
X |
|
China
A Fund |
Core
Fixed Income Fund |
Diversified
Emerging Markets Fund |
Diversified
Growth Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Multi-Sector Bond Fund |
International
Contrarian Value Fund |
International
Multi-Cap Value Fund |
International
Stock Fund |
Sustainable
International Core Fund |
Tax-Aware
Bond Fund |
US
MidCap Opportunities Fund |
US
Small Cap Opportunities Fund |
Dollar
Rolls Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Equity
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Special
Purpose Acquisi-
tion
Companies Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
ESG
Integration Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
X |
X |
X |
Exchange-Traded
Funds
(ETFs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Exchange-Traded
Notes
(ETNs)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Event
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Fixed
Income Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Focused
Portfolio Risk |
|
|
|
|
|
|
X |
|
|
|
|
|
|
Foreign
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Currency
Risk and
Exchange
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Principal
Exchange Rate
Linked
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Performance
Indexed
Paper
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Settlement
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Government
Intervention in
Financial
Markets Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
High
Yield Investments
(“Junk
Bonds”) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Distressed
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Illiquid
Investments Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation
Protected Debt
Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Initial
Public Offerings
(“IPO”)
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Interest
Rate Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Interfund
Lending Program
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inverse
Floating Rate Securi-
ties
Risk
|
|
X |
|
X |
|
|
|
|
|
|
X |
|
|
Investment
Grade Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Investments
in a Subsidiary
Risk |
|
|
|
X |
|
|
|
|
|
|
|
|
|
Investments
in Emerging
Market
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sukuk
Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Large
Cap Securities Risk |
X |
X |
X |
X |
X |
|
X |
X |
X |
X |
|
X |
X |
Large
Shareholder Transac-
tion
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
LIBOR
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Liquidation
of Funds Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Loans
and Loan Participa-
tions
Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Floating
Rate Loans Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Loan
Participations Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Senior
Loans Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Unsecured
Loans Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Delayed
Settlement Risk |
|
X |
|
X |
|
X |
|
|
|
|
X |
|
|
Market
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Master
Limited Partnership
(“MLP”)
Risk |
|
X |
|
X |
|
|
X |
X |
X |
X |
X |
X |
X |
Mid
Cap Securities Risk |
X |
X |
X |
X |
X |
|
X |
X |
X |
X |
|
X |
X |
|
China
A Fund |
Core
Fixed Income Fund |
Diversified
Emerging Markets Fund |
Diversified
Growth Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Multi-Sector Bond Fund |
International
Contrarian Value Fund |
International
Multi-Cap Value Fund |
International
Stock Fund |
Sustainable
International Core Fund |
Tax-Aware
Bond Fund |
US
MidCap Opportunities Fund |
US
Small Cap Opportunities Fund |
Money
Market Instruments
and
Temporary Investment
Strategies
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Mortgage-Related
Securities
Risk |
|
X |
|
X |
|
X |
|
X |
X |
|
X |
X |
X |
Municipal
Securities Risk |
|
X |
|
X |
|
|
|
|
|
|
X |
|
|
New
Fund Risk |
|
|
|
X |
|
|
X |
|
|
X |
|
|
|
Non-Diversification
Risk |
X |
|
|
|
|
X |
|
|
|
|
|
|
|
Operational
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Capital Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Other
Investment Companies
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Preferred
Stock Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Placement Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Private
Investments in
Public
Equity (PIPEs) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Quantitative
Investing Risk |
|
X |
X |
X |
X |
|
X |
X |
|
X |
X |
|
|
Real
Estate Investment
Trusts
(“REITs”) Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Real
Estate Related Securi-
ties
Risks |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Regional/Country
Focus Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Investments
in Central and
South
America Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Investments
in Europe Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Investments
in Asia Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Investments
in China Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Investments
in Japan Risk |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
|
Investments
in Russia Risk |
|
|
X |
X |
X |
X |
X |
X |
X |
X |
|
|
|
Repurchase
and Reverse
Repurchase
Agreements
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Restricted
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Risks
of Qualified Financial
Contracts |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Consumer
Discretionary
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Communication
Services
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Health
Care Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Financials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Industrials
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Information
Technology
Sector
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Utilities
Sector Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Securities
Lending Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Securities
Trusts Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Small
Capitalization Securi-
ties
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sovereign
Debt Risk |
|
X |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
State-Specific
Risk |
|
|
|
|
|
|
|
|
|
|
X |
|
|
Stripped
Securities Risk |
|
X |
|
|
|
X |
|
|
|
|
X |
|
|
Structured
Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Sustainable
Investing Risk |
|
|
|
|
|
|
|
|
|
X |
|
|
|
Taxable
Income Risk |
|
|
|
|
|
|
|
|
|
|
X |
|
|
To
Be Announced (TBA)
Transactions
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
China
A Fund |
Core
Fixed Income Fund |
Diversified
Emerging Markets Fund |
Diversified
Growth Fund |
Emerging
Markets Equity Fund |
Emerging
Markets Multi-Sector Bond Fund |
International
Contrarian Value Fund |
International
Multi-Cap Value Fund |
International
Stock Fund |
Sustainable
International Core Fund |
Tax-Aware
Bond Fund |
US
MidCap Opportunities Fund |
US
Small Cap Opportunities Fund |
Short
Sales of TBA Invest-
ments
Risk |
|
X |
|
X |
|
|
|
|
|
|
X |
|
|
Use
as an Underlying Fund
Risk |
X |
X |
X |
|
X |
X |
X |
X |
X |
X |
X |
X |
X |
U.S.
Government Securities
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Valuation
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Value
Investing Style Risk |
|
|
X |
|
|
|
X |
X |
|
|
|
|
|
Volatility
Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Volatility
Target Risk |
|
|
|
X |
|
|
|
|
|
|
|
|
|
Warrants
and Rights Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Zero
Coupon Securities Risk |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Fund |
Portfolio
Turnover
10/31/2023 |
Portfolio
Turnover
10/31/2022 |
China
A Fund |
66% |
65% |
Core
Fixed Income Fund(1)
|
104% |
162% |
Diversified
Emerging Markets Fund |
121% |
98% |
Diversified
Growth Fund |
15%(2)
|
N/A |
Emerging
Markets Equity Fund
|
47% |
39% |
Emerging
Markets Multi-Sector Bond Fund |
133% |
118% |
International
Contrarian Value Fund |
15% |
8%(3)
|
International
Multi-Cap Value Fund |
112% |
101% |
International
Stock Fund |
28% |
35% |
Sustainable
International Core Fund |
31% |
17%(3)
|
Tax-Aware
Bond Fund |
98% |
143% |
US
MidCap Opportunities Fund |
34% |
42% |
US
Small Cap Opportunities Fund |
42% |
38% |
NAME,
YEAR OF
BIRTH
AND
ADDRESS*
|
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
HILARY
E.
ACKERMANN
(1956) |
Director |
Since
2014 |
Ms.
Ackermann served as Chief Risk Officer at
Goldman
Sachs Bank USA from October 2008 to
November
2011. |
83 |
Ms.
Ackermann
served
as a
Director
of Dynegy,
Inc.
from October
2012
until its
acquisition
by
Vistra
Energy
Corporation
(“Vistra”)
in 2018,
and
since that time
she
has served as
a
Director of Vistra.
Ms.
Ackermann
served
as a
Director
of Credit
Suisse
Holdings
(USA),
Inc. from
January
2017 to
December
2022. |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
ROBIN
C. BEERY
(1967) |
Director |
Since
2017 |
Ms.
Beery has served as a consultant to ArrowMark
Partners
(an alternative asset manager) since March
of
2015 and since November 2018 has been
employed
by ArrowMark Partners as a Senior Advisor.
Previously,
she was Executive Vice President, Head of
Distribution,
for Janus Capital Group, and Chief
Executive
Officer and President of the Janus Mutual
Funds
(a global asset manager) from September
2009
to August 2014. |
83 |
Ms.
Beery serves
as
an independent
Director
of UMB
Financial
Corporation
(January
2015 to
present),
has
chaired
the
Compensation
Committee
since
April
2017, and
has
been a
member
of the
Compensation
Committee
and the
Risk
Committee
since
January
2015.
|
DERRICK
D.
CEPHAS
(1952) |
Director |
Since
2020 |
Mr.
Cephas currently serves as Of Counsel to Squire
Patton
Boggs LLP, an international law firm with 45
offices
in 20 countries. Until his retirement in October
2020,
Mr. Cephas was a Partner of Weil, Gotshal &
Manges
LLP, an international law firm headquartered
in
New York, where he served as the Head of the
Financial
Institutions Practice (April 2011 to October
2020). |
83 |
Mr.
Cephas
currently
serves as
a
Director of Claros
Mortgage
Trust,
Inc.,
a real estate
investment
trust
and
is a member of
the
Compensation
Committee
and the
Nominating
and
Governance
Committee. |
CHRISTINE
R.
DETRICK
(1958) |
Director
and
Chair
of the
Board |
Director
since
2016;
Chair
of the
Board
since
2021 |
From
2002 until 2012, Ms. Detrick was a Senior
Partner,
Leader of the Financial Services Practice, and
a
Senior Advisor at Bain & Company (“Bain”). Before
joining
Bain, she served in various senior
management
roles for other financial services firms
and
was a consultant at McKinsey and Company. |
83 |
Ms.
Detrick
currently
serves as
a
Director of
Charles
River
Associates
(May
2020
to present);
currently
serves as
a
Director of
Capital
One
Financial
Corporation
(since
November
2021);
and
currently
serves
as a
Director
and Chair
of
Altus Power, Inc.
(since
December
2021). |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S)
DURING
PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
FOR
PUBLIC
COMPANIES
AND
OTHER
REGISTERED
INVESTMENT
COMPANIES
HELD
BY
DIRECTOR |
JOHN
J.
GAUTHIER
(1961) |
Director |
Since
2022 |
Mr.
Gauthier currently is the Principal Owner of JJG
Advisory,
LLC, an investment consulting firm, and Co-
Founder
and Principal Owner of Talcott Capital
Partners
(a placement agent for investment managers
serving
insurance companies). From 2008 to 2018,
Mr.
Gauthier served as a Senior Vice President (2008-
2010),
Executive Vice President (2010-2012), and
President
(2012-2018) of Allied World Assurance,
LTD,
AG (a global provider of property, casualty and
specialty
insurance and reinsurance solutions). |
83 |
Mr.
Gauthier
serves
as a
Director
of
Reinsurance
Group
of
America, Inc.
(from
2018 to
present);
currently
serves
as a
Director
of
Hamilton
Insurance
Group,
Ltd.
(October
2023 to
present);
and
chairs
the
Investment
Committee
and is
a
member of the
Audit
and Risk
Committees. |
ANDREW
A.
JOHNSON
(1962) |
Director |
Since
2020 |
Mr.
Johnson currently serves as a Diversity and
Inclusion
Advisor at Neuberger Berman, a private,
global
investment management firm. Prior to his
current
role, Mr. Johnson served as Chief Investment
Officer
and Head of Global Investment Grade Fixed
Income
at Neuberger Berman (January 2009 to
December
2018).
|
83 |
Mr.
Johnson
currently
serves as
a
Director of AGNC
Investment
Corp.,
a
real estate
investment
trust. |
PAUL
L.
ROSENBERG
(1953) |
Director |
Since
2020 |
Mr.
Rosenberg is a Partner of The Bridgespan Group,
a
global nonprofit consulting firm that is a social
impact
advisor to nonprofits, non-governmental
organizations,
philanthropists and institutional
investors
(October 2007 to present).
|
83 |
None |
DAVID
SUNG
(1953) |
Director |
Since
2017 |
Mr.
Sung was a Partner at Ernst & Young LLP from
October
1995 to July 2014. |
83 |
Mr.
Sung serves as
a
Trustee of
Ironwood
Institutional
Multi-
Strategy
Fund, LLC
and
Ironwood
Multi-Strategy
Fund,
LLC (October
2015
to present). |
NAME,
YEAR OF
BIRTH
AND
ADDRESS*
|
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
HELD
BY
DIRECTOR |
JAMES
E.
DAVEY****
(1964) |
Director,
President
and
Chief
Executive
Officer |
President
and
Chief
Executive
Officer
since
2010;
Director
since
2012 |
Mr.
Davey serves as Executive Vice President of The
Hartford
Financial Services Group, Inc. Mr. Davey has
served
in various positions within The Hartford and its
subsidiaries
and joined The Hartford in 2002.
Additionally,
Mr. Davey serves as Director, Chairman,
President,
and Senior Managing Director for Hartford
Funds
Management Group, Inc. ("HFMG"). Mr. Davey
also
serves as President, Manager, Chairman of the
Board,
and Senior Managing Director for Hartford
Funds
Management Company, LLC (“HFMC”);
Manager,
Chairman of the Board, and President of
Lattice
Strategies LLC (“Lattice”); Chairman of the
Board,
Manager, and Senior Managing Director of
Hartford
Funds Distributors, LLC (“HFD”); and
Chairman
of the Board, President and Senior
Managing
Director of Hartford Administrative Services
Company
(“HASCO”), each of which is an affiliate of
HFMG. |
83 |
None |
AMY
N. FURLONG
(1979) |
Vice
President
|
Since
2018 |
Ms.
Furlong serves as Vice President and Assistant
Treasurer
of HFMC (since September 2019). From
2018
through March 15, 2021, Ms. Furlong served as
the
Treasurer of the Company and resumed her
position
as Treasurer from January 9, 2023 through
September
10, 2023. Ms. Furlong has served in
various
positions within The Hartford and its
subsidiaries
in connection with the operation of the
Hartford
Funds. Ms. Furlong joined The Hartford in
2004. |
N/A |
N/A |
WALTER
F.
GARGER
(1965) |
Vice
President
and
Chief
Legal
Officer |
Since
2016 |
Mr.
Garger serves as Secretary, Managing Director
and
General Counsel of HFMG, HFMC, HFD, and
HASCO
(since 2013). Mr. Garger also serves as
Secretary
and General Counsel of Lattice (since July
2016).
Mr. Garger has served in various positions
within
The Hartford and its subsidiaries in connection
with
the operation of the Hartford Funds. Mr. Garger
joined
The Hartford in 1995. |
N/A |
N/A |
THEODORE
J.
LUCAS
(1966) |
Vice
President |
Since
2017 |
Mr.
Lucas serves as Executive Vice President of
HFMG
(since July 2016) and as Executive Vice
President
of Lattice (since June 2017). Previously, Mr.
Lucas
served as Managing Partner of Lattice (2003 to
2016). |
N/A |
N/A |
JOSEPH
G.
MELCHER
(1973) |
Vice
President,
Chief
Compliance
Officer
and
AML
Compliance
Officer |
Vice
President
and
Chief
Compliance
Officer
since
2013;
AML
Compliance
Officer
since
August
1,
2022
|
Mr.
Melcher serves as Executive Vice President of
HFMG
and HASCO (since December 2013). Mr.
Melcher
also serves as Executive Vice President
(since
December 2013) and Chief Compliance Officer
(since
December 2012) of HFMC, serves as Executive
Vice
President and Chief Compliance Officer of Lattice
(since
July 2016), serves as Executive Vice President
of
HFD (since December 2013), and has served as
President
and Chief Executive Officer of HFD (from
April
2018 to June 2019). |
N/A |
N/A |
NAME,
YEAR OF
BIRTH
AND
ADDRESS* |
POSITION
HELD
WITH
THE
COMPANY |
TERM
OF
OFFICE**
AND
LENGTH
OF
TIME
SERVED |
PRINCIPAL
OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER
OF
PORTFOLIOS
IN
FUND
COMPLEX***
OVERSEEN
BY
DIRECTOR |
OTHER
DIRECTORSHIPS
HELD
BY
DIRECTOR |
VERNON
J.
MEYER
(1964) |
Vice
President |
Since
2006 |
Mr.
Meyer serves as Managing Director and Chief
Investment
Officer of HFMC and Managing Director of
HFMG
(since 2013). Mr. Meyer also serves as Senior
Vice
President-Investments of Lattice (since March
2019).
Mr. Meyer has served in various positions
within
The Hartford and its subsidiaries in connection
with
the operation of the Hartford Funds. Mr. Meyer
joined
The Hartford in 2004. |
N/A |
N/A |
ALICE
A.
PELLEGRINO
(1960) |
Vice
President
and
Assistant
Secretary |
Since
2016 |
Ms.
Pellegrino is Deputy General Counsel for HFMG
(since
April 2022) and currently serves as Vice
President
of HFMG (since December 2013). Ms.
Pellegrino
also serves as Vice President and
Assistant
Secretary of Lattice (since June 2017). Ms.
Pellegrino
has served in various positions within The
Hartford
and its subsidiaries in connection with the
operation
of the Hartford Funds. Ms. Pellegrino joined
The
Hartford in 2007. |
N/A |
N/A |
ANKIT
PURI
(1984) |
Vice
President
and
Treasurer |
Effective
September
11,
2023 |
Effective
September 11, 2023, Mr. Puri serves as
Vice
President and Treasurer of the Company. Prior to
joining
HFMC in 2023, Mr. Puri was a Fund Accounting
Director,
Investment Management Services, at SEI
Investments
(July 2021 through August 2023), an
Associate
Director, Fund Accounting Policy at The
Vanguard
Group (September 2020 to June 2021), and
served
in various positions at Ernst & Young LLP
(October
2014 through September 2020).
|
N/A |
N/A |
THOMAS
R.
PHILLIPS
(1960) |
Vice
President
and
Secretary |
Since
2017 |
Mr.
Phillips is Deputy General Counsel for HFMG and
currently
serves as a Senior Vice President (since
June
2021) and Assistant Secretary (since June
2017)
for HFMG. Mr. Phillips also serves as Vice
President
of HFMC (since June 2021). Prior to joining
HFMG
in 2017, Mr. Phillips was a Director and Chief
Legal
Officer of Saturna Capital Corporation from
2014–2016.
Prior to that, Mr. Phillips was a Partner
and
Deputy General Counsel of Lord, Abbett & Co.
LLC. |
N/A |
N/A |
NAME
OF DIRECTOR |
FUNDS |
DOLLAR
RANGE OF EQUITY
SECURITIES
IN THE FUND |
AGGREGATE
DOLLAR RANGE OF EQUITY
SECURITIES
IN ALL REGISTERED
INVESTMENT
COMPANIES OVERSEEN
BY
DIRECTOR IN FAMILY OF INVESTMENT
COMPANIES |
Hilary
E. Ackermann |
US
MidCap Opportunities Fund |
Over
$100,000 |
Over
$100,000 |
|
|
|
|
Robin
C. Beery |
None |
None |
Over
$100,000 |
|
|
|
|
Derrick
D. Cephas |
None |
None |
None |
|
|
|
|
Christine
R. Detrick |
US
MidCap Opportunities Fund |
$10,001–$50,000 |
Over
$100,000 |
|
|
|
|
John
J. Gauthier |
Emerging
Markets Multi-Sector
Bond
Fund |
Over
$100,000 |
Over
$100,000 |
|
|
|
|
Andrew
A. Johnson |
None |
None |
None |
|
|
|
|
Paul
L. Rosenberg |
None |
None |
$10,001-$50,000 |
|
|
|
|
David
Sung |
None |
None |
None |
NAME
OF DIRECTOR |
FUNDS |
DOLLAR
RANGE OF EQUITY
SECURITIES
IN THE FUND |
AGGREGATE
DOLLAR RANGE OF EQUITY
SECURITIES
IN ALL REGISTERED
INVESTMENT
COMPANIES OVERSEEN
BY
DIRECTOR IN FAMILY OF INVESTMENT
COMPANIES |
James
E. Davey |
International
Stock Fund |
$10,001-$50,000 |
Over
$100,000 |
NAME
OF PERSON, POSITION |
AGGREGATE
COMPENSATION
FROM
THE COMPANY |
PENSION
OR
RETIREMENT
BENEFITS
ACCRUED AS
PART
OF FUND
EXPENSES |
ESTIMATED
ANNUAL
BENEFITS
UPON
RETIREMENT |
TOTAL
COMPENSATION
FROM
THE
FUND COMPLEX
PAID
TO
DIRECTORS |
Hilary
E. Ackermann, Director |
$54,522 |
$0 |
$0 |
$361,292 |
Robin
C. Beery, Director |
$54,522 |
$0 |
$0 |
$361,292 |
Derrick
D. Cephas, Director |
$47,116 |
$0 |
$0 |
$312,292 |
Christine
R. Detrick, Director |
$78,029 |
$0 |
$0 |
$516,292 |
John
J. Gauthier, Director |
$47,698 |
$0 |
$0 |
$316,292 |
Andrew
A. Johnson, Director |
$54,522 |
$0 |
$0 |
$361,292 |
Paul
L. Rosenberg, Director |
$47,698 |
$0 |
$0 |
$316,292 |
David
Sung, Director |
$54,522 |
$0 |
$0 |
$361,292 |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.9000% |
Amount
over $1 billion |
0.8900% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$500 million |
0.3200% |
Next
$500 million |
0.3000% |
Amount
over $1 billion |
0.2800% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.8400% |
Amount
over $1 billion |
0.7800% |
AVERAGE
DAILY NET ASSETS (Excluding assets invested in any mutual fund or
exchange-traded fund for
which
the Investment Manager or its affiliates serves as investment manager
(“Affiliated Funds”)) |
ANNUAL
RATE |
First
$1 billion |
0.5500% |
Amount
over $1 billion |
0.5300% |
AVERAGE
DAILY NET ASSETS (Invested in Affiliated Funds) |
ANNUAL
RATE |
All
Assets invested in Affiliated Funds |
0.0000% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
1.0500% |
Next
$4 billion |
1.0000% |
Next
$5 billion |
0.9900% |
Amount
over $10 billion |
0.9850% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.7000% |
Next
$4 billion |
0.6500% |
Next
$5 billion |
0.6400% |
Amount
over $10 billion |
0.6350% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.6500% |
Amount
over $1 billion |
0.6100% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.7200% |
Next
$4 billion |
0.6800% |
Next
$5 billion |
0.6750% |
Amount
over $10 billion |
0.6700% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.6700% |
Next
$4 billion |
0.6500% |
Next
$5 billion |
0.6450% |
Amount
over $10 billion |
0.6400% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.6500% |
Amount
over $1 billion |
0.6100% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.4500% |
Next
$4 billion |
0.4300% |
Next
$5 billion |
0.4250% |
Amount
over $10 billion |
0.4200% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.7500% |
Next
$1.5 billion |
0.7000% |
Next
$2.5 billion |
0.6500% |
Next
$5 billion |
0.6450% |
Amount
over $10 billion |
0.6400% |
AVERAGE
DAILY NET ASSETS |
ANNUAL
RATE |
First
$1 billion |
0.9000% |
Next
$4 billion |
0.8900% |
Next
$5 billion |
0.8800% |
Amount
over $10 billion |
0.8700% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/23 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/23 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/23 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/23 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/23 |
China
A Fund |
$331,429 |
$0 |
$331,429 |
$184,127 |
0.50% |
Core
Fixed Income Fund |
$591,720 |
$0 |
$591,720 |
$221,895 |
0.12% |
Diversified
Emerging Markets Fund |
$464,508 |
$0 |
$464,508 |
$232,254 |
0.42% |
Diversified
Growth Fund(1)
|
$20,710 |
$546 |
$20,164 |
$10,082 |
0.28%(2)
|
Emerging
Markets Equity Fund
|
$53,977,025 |
$0 |
$53,977,025 |
$29,931,823 |
0.56% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/23 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/23 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/23 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/23 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/23 |
Emerging
Markets Multi-Sector Bond
Fund |
$191,076 |
$0 |
$191,076 |
$106,456 |
0.39% |
International
Contrarian Value Fund |
$54,042 |
$0 |
$54,042 |
$24,942 |
0.30% |
International
Multi-Cap Value Fund |
$16,810,553 |
$0 |
$16,810,553 |
$7,922,613 |
0.33% |
International
Stock Fund |
$29,979,776 |
$0 |
$29,979,776 |
$13,486,889 |
0.29% |
Sustainable
International Core Fund |
$6,851 |
$0 |
$6,851 |
$3,162 |
0.30% |
Tax-Aware
Bond Fund |
$3,161,620 |
$0 |
$3,161,620 |
$1,194,390 |
0.17% |
US
MidCap Opportunities Fund |
$6,089,418 |
$0 |
$6,089,418 |
$2,841,728 |
0.35% |
US
Small Cap Opportunities Fund |
$2,651,930 |
$0 |
$2,651,930 |
$1,325,964 |
0.45% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/22 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/22 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/22 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/22 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/22 |
China
A Fund |
$684,468 |
$0 |
$684,468 |
$380,260 |
0.50% |
Core
Fixed Income Fund |
$411,080 |
$0 |
$411,080 |
$151,583(1)
|
0.12%(1)
|
Diversified
Emerging Markets Fund |
$73,857 |
$0 |
$73,857 |
$36,929 |
0.42% |
Diversified
Growth Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
Emerging
Markets Equity Fund
|
$60,759,737 |
$0 |
$60,759,737 |
$33,700,251 |
0.56% |
Emerging
Markets Multi-Sector Bond
Fund |
$246,921 |
$0 |
$246,921 |
$137,571 |
0.39% |
International
Contrarian Value Fund(2)
|
$2,577 |
$0 |
$2,577 |
$1,189 |
0.30%(3)
|
International
Multi-Cap Value Fund |
$17,540,435 |
$0 |
$17,540,435 |
$8,266,087 |
0.33% |
International
Stock Fund |
$24,665,976 |
$0 |
$24,665,976 |
$11,115,589 |
0.30% |
Sustainable
International Core Fund(2)
|
$2,635 |
$0 |
$2,635 |
$1,216 |
0.30%(3)
|
Tax-Aware
Bond Fund |
$1,822,310 |
$0 |
$1,822,310 |
$688,428 |
0.17% |
US
MidCap Opportunities Fund |
$5,673,763 |
$0 |
$5,673,763 |
$2,647,756 |
0.35% |
US
Small Cap Opportunities Fund |
$2,900,886 |
$0 |
$2,900,886 |
$1,450,443 |
0.45% |
Fund
Name |
Gross
Fees
Paid
to HFMC
For
fiscal year
ended
10/31/21 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/21 |
Net
Fees Paid to
HFMC
For
fiscal year
ended
10/31/21 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/21 |
%
Net Aggregate
Sub-advisory
Fees
Paid
to SIMNA and
its
affiliates
For
fiscal year
ended
10/31/21 |
China
A Fund |
$249,064 |
$0 |
$249,064 |
$138,369 |
0.50% |
Core
Fixed Income Fund(1)
|
N/A |
N/A |
N/A |
N/A |
N/A |
Diversified
Emerging Markets Fund(2)
|
$7,214 |
$0 |
$7,214 |
$3,607 |
0.42%(3)
|
Diversified
Growth Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
Emerging
Markets Equity Fund
|
$62,672,412 |
$0 |
$62,672,412 |
$34,764,850 |
0.56% |
Emerging
Markets Multi-Sector Bond
Fund |
$350,713 |
$0 |
$350,713 |
$195,397 |
0.39% |
International
Contrarian Value Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
International
Multi-Cap Value Fund |
$16,688,783 |
$0 |
$16,688,783 |
$7,865,309 |
0.33% |
International
Stock Fund |
$15,884,459 |
$0 |
$15,884,459 |
$7,197,682 |
0.30% |
Sustainable
International Core Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
Tax-Aware
Bond Fund |
$2,052,123 |
$0 |
$2,052,123 |
$775,246 |
0.17% |
US
MidCap Opportunities Fund |
$5,886,510 |
$0 |
$5,886,510 |
$2,747,038 |
0.35% |
US
Small Cap Opportunities Fund |
$2,926,748 |
$0 |
$2,926,748 |
$1,463,374 |
0.45% |
Fund
Name |
Gross
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/21 |
Investment
Advisory
Fee
Waiver
For
fiscal year
ended
10/31/21 |
Net
Fees Paid by
Predecessor
Fund
to
SIMNA
For
fiscal year
ended
10/31/21 |
Net
Aggregate
Sub-Advisory
fees
Paid
to SIMNA Ltd.
For
fiscal year
ended
10/31/21 |
%
Net Aggregate
Sub-advisory
Fees Paid to SIMNA Ltd.
For
fiscal year
ended
10/31/21 |
Core
Fixed Income
Fund |
$270,775 |
$270,775 |
$0 |
$3,553 |
0.01% |
FUND
NAME |
FOR
THE PERIOD ENDED
11/12/2021 |
FOR
THE FISCAL YEAR ENDED
10/31/2021 |
Core
Fixed Income Fund
|
$4,110 |
$124,944 |
FUND
NAME |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
China
A Fund(1)
|
1.45% |
2.25% |
1.15% |
N/A |
N/A |
N/A |
1.11% |
0.99% |
0.99% |
Core
Fixed Income Fund(1)
|
N/A |
N/A |
0.51% |
1.06% |
0.76% |
0.46% |
0.40% |
0.36% |
0.36% |
Diversified
Emerging Markets Fund(1)
|
1.34% |
2.14% |
1.04% |
N/A |
N/A |
N/A |
0.99% |
0.89% |
0.89% |
Diversified
Growth Fund(2)
|
N/A |
N/A |
0.80% |
N/A |
N/A |
N/A |
N/A |
N/A |
0.65% |
Emerging
Markets Multi-Sector Bond Fund(1)
|
1.15% |
1.90% |
0.90% |
1.45% |
1.15% |
0.85% |
0.85% |
0.75% |
0.75% |
International
Contrarian Value Fund(1)
|
1.15% |
1.95% |
0.85% |
N/A |
N/A |
0.80% |
0.80% |
0.70% |
0.70% |
Sustainable
International Core Fund(1)
|
N/A |
N/A |
0.85% |
N/A |
N/A |
N/A |
N/A |
N/A |
0.70% |
Tax-Aware
Bond Fund(1)
|
0.71% |
1.59% |
0.49% |
N/A |
N/A |
N/A |
0.56% |
0.46% |
0.46% |
US
Small Cap Opportunities Fund(1)
|
1.35% |
2.10% |
1.10% |
1.65% |
1.35% |
1.05% |
1.05% |
0.95% |
0.95% |
FUND
NAME |
FOR
THE FISCAL YEAR ENDED
10/31/2023 |
FOR
THE FISCAL YEAR ENDED
10/31/2022 |
FOR
THE FISCAL YEAR ENDED
10/31/2021 |
China
A Fund |
$7,298 |
$15,240 |
$4,895 |
FUND
NAME |
FOR
THE FISCAL YEAR ENDED
10/31/2023 |
FOR
THE FISCAL YEAR ENDED
10/31/2022 |
FOR
THE FISCAL YEAR ENDED
10/31/2021 |
Core
Fixed Income Fund |
$36,983 |
$25,554 |
N/A(1)
|
Diversified
Emerging Markets Fund |
$11,060 |
$1,761 |
$167(2)
|
Diversified
Growth Fund |
$743(3)
|
N/A |
N/A |
Emerging
Markets Equity Fund
|
$746,951 |
$858,837 |
$900,311 |
Emerging
Markets Multi-Sector Bond
Fund |
$5,434 |
$7,059 |
$8,156 |
International
Contrarian Value Fund |
$1,503 |
$79(4)
|
N/A |
International
Multi-Cap Value Fund |
$352,478 |
$370,015 |
$355,977 |
International
Stock Fund |
$645,251 |
$553,202 |
$350,327 |
Sustainable
International Core Fund |
$211 |
$81(4)
|
N/A |
Tax-Aware
Bond Fund |
$122,133 |
$75,172 |
$78,198 |
US
MidCap Opportunities Fund |
$129,993 |
$123,303 |
$127,339 |
US
Small Cap Opportunities Fund |
$58,252 |
$62,815 |
$55,940 |
Share
Class |
Specified
Amount (as a percentage of average daily net assets)
(as
of March 1, 2024) |
Class
A |
0.250% |
Class
C |
0.250% |
Class
I |
0.200% |
Class
Y |
0.110% |
Class
R3 |
0.220% |
Class
R4 |
0.170% |
Class
R5 |
0.120% |
Class
F |
0.004% |
Class
SDR |
0.004% |
FUND
NAME |
GROSS
INCOME
FROM
SECURITIES
LENDING
ACTIVITIES |
FEES
PAID TO
SECURITIES
LENDING
AGENT
FROM
A
REVENUE
SPLIT*
|
REBATES
(PAID
TO
BORROWER) |
AGGREGATE
FEES
/
COMPENSATION
FROM
SECURITIES
LENDING
ACTIVITIES |
NET
INCOME
FROM
SECURITIES
LENDING
ACTIVITIES |
Core
Fixed Income Fund |
$0 |
$0 |
$0 |
$0 |
$0 |
Diversified
Emerging Markets Fund |
$3,537 |
$326 |
$282 |
$608 |
$2,929 |
Diversified
Growth Fund(1)
|
$17,839 |
$686 |
$10,983 |
$11,669 |
$6,170 |
Emerging
Markets Equity Fund
|
$829,415 |
$49,815 |
$331,260 |
$381,075 |
$448,340 |
Emerging
Markets Multi-Sector Bond Fund |
$47,449 |
$1,301 |
$34,442 |
$35,743 |
$11,706 |
International
Contrarian Value Fund |
$54 |
$2 |
$37 |
$39 |
$15 |
International
Multi-Cap Value Fund |
$1,704,122 |
$77,352 |
$930,603 |
$1,007,955 |
$696,167 |
International
Stock Fund |
$2,243,708 |
$90,503 |
$1,338,671 |
$1,429,174 |
$814,534 |
Sustainable
International Core Fund |
$22 |
$0 |
$18 |
$18 |
$4 |
Tax-Aware
Bond Fund |
$157 |
$11 |
$46 |
$57 |
$100 |
US
MidCap Opportunities Fund |
$34 |
$3 |
$8 |
$11 |
$23 |
US
Small Cap Opportunities Fund |
$109,948 |
$1,042 |
$99,537 |
$100,579 |
$9,369 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
China
A Fund | ||||
Jack
Lee |
|
|
|
|
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$4,111 |
0 |
$0 |
Other
Accounts |
4 |
$667 |
2 |
$495 |
Core
Fixed Income Fund | ||||
Lisa
Hornby |
|
|
|
|
Other
Registered Investment Companies |
2 |
$1,051 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,400 |
0 |
$0 |
Other
Accounts |
111 |
$20,652 |
3 |
$263 |
Neil
G. Sutherland |
|
|
|
|
Other
Registered Investment Companies |
2 |
$1,051 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,400 |
0 |
$0 |
Other
Accounts |
111 |
$20,652 |
3 |
$263 |
Julio
C. Bonilla |
|
|
|
|
Other
Registered Investment Companies |
2 |
$1,051 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
3 |
$263 |
Eric
Lau |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,400 |
0 |
$0 |
Other
Accounts |
111 |
$20,652 |
3 |
$263 |
Diversified
Emerging Markets Fund | ||||
Tom
Wilson |
|
|
|
|
Other
Registered Investment Companies |
2 |
$5,852 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$11,715.5 |
0 |
$0 |
Other
Accounts |
28 |
$17,035.8 |
7 |
$5,917 |
David
Philpotts |
|
|
|
|
Other
Registered Investment Companies |
1 |
$2,275 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$7,766 |
0 |
$0 |
Other
Accounts |
25 |
$11,183 |
5 |
$2,280 |
Gordon
Huang |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$7,766 |
0 |
$0 |
Other
Accounts |
25 |
$11,183 |
5 |
$2,280 |
Diversified
Growth Fund | ||||
Johanna
Kyrklund |
|
|
|
|
Other
Registered Investment Companies |
2 |
$1,360 |
2 |
$1,360 |
Other
Pooled Investment Vehicles |
8 |
$8,663 |
8 |
$8,663 |
Other
Accounts |
1 |
$931 |
1 |
$931 |
Remi
Olu-Pitan |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
7 |
$7,308 |
7 |
$7,308 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Mina
Krishnan |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
3 |
$1,471 |
3 |
$1,471 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Gaia
Marinaccio |
|
|
|
|
Other
Registered Investment Companies |
2 |
$1,360 |
2 |
$1,360 |
Other
Pooled Investment Vehicles |
3 |
$1,471 |
3 |
$1,471 |
Other
Accounts |
1 |
$931 |
1 |
$931 |
Emerging
Markets Equity Fund | ||||
Tom
Wilson |
|
|
|
|
Other
Registered Investment Companies |
2 |
$884 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$11,716 |
0 |
$0 |
Other
Accounts |
28 |
$17,036 |
7 |
$5,917 |
Robert
Davy |
|
|
|
|
Other
Registered Investment Companies |
2 |
$884 |
0 |
$0 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
Other
Pooled Investment Vehicles |
10 |
$7,662 |
0 |
$0 |
Other
Accounts |
25 |
$16,353 |
7 |
$5,917 |
James
Gotto |
|
|
|
|
Other
Registered Investment Companies |
1 |
$619 |
0 |
$0 |
Other
Pooled Investment Vehicles |
9 |
$7,138 |
0 |
$0 |
Other
Accounts |
25 |
$16,337 |
7 |
$5,917 |
Waj
Hashmi |
|
|
|
|
Other
Registered Investment Companies |
2 |
$884 |
0 |
$0 |
Other
Pooled Investment Vehicles |
12 |
$8,179 |
0 |
$0 |
Other
Accounts |
25 |
$16,353 |
7 |
$5,917 |
Nicholas
Field |
|
|
|
|
Other
Registered Investment Companies |
1 |
$619 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$8,563 |
0 |
$0 |
Other
Accounts |
25 |
$16,102 |
7 |
$5,917 |
Rollo
Roscow |
|
|
|
|
Other
Registered Investment Companies |
1 |
$619 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$7,387 |
0 |
$0 |
Other
Accounts |
25 |
$16,461 |
7 |
$5,917 |
Emerging
Markets Multi-Sector Bond Fund | ||||
Fernando
Grisales |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$3,457 |
0 |
$0 |
Other
Accounts |
4 |
$684 |
0 |
$0 |
Autumn
Graham |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$3,457 |
0 |
$0 |
Other
Accounts |
4 |
$684 |
0 |
$0 |
Abdallah
Guezour |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
6 |
$1,681 |
0 |
$0 |
Other
Accounts |
1 |
$173 |
0 |
$0 |
International
Contrarian Value Fund | ||||
Nick
Kirrage |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
6 |
$2,885 |
0 |
$0 |
Other
Accounts |
1 |
$178 |
0 |
$0 |
Simon
Adler |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$3,955 |
0 |
$0 |
Other
Accounts |
2 |
$318 |
0 |
$0 |
Liam
Nunn |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
8 |
$3,955 |
0 |
$0 |
Other
Accounts |
2 |
$318 |
0 |
$0 |
International
Multi-Cap Value Fund | ||||
Stephen
Langford |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$7,766 |
0 |
$0 |
Other
Accounts |
25 |
$11,183 |
5 |
$2,280 |
David
Philpotts |
|
|
|
|
Other
Registered Investment Companies |
1 |
$55 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$7,766 |
0 |
$0 |
Other
Accounts |
25 |
$11,183 |
5 |
$2,280 |
Lukas
Kamblevicius |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
21 |
$7,766 |
0 |
$0 |
Other
Accounts |
25 |
$11,183 |
5 |
$2,280 |
FUND
AND PORTFOLIO MANAGER |
NUMBER
OF
ACCOUNTS |
ASSETS
MANAGED
(in
millions) |
NUMBER
OF
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE |
TOTAL
ASSETS
IN
ACCOUNTS
WHERE
ADVISORY
FEE
IS BASED
ON
ACCOUNT
PERFORMANCE
(in
millions) |
International
Stock Fund | ||||
James
Gautrey |
|
|
|
|
Other
Registered Investment Companies |
6 |
$19,625 |
2 |
$12,856 |
Other
Pooled Investment Vehicles |
3 |
$1,394 |
1 |
$44 |
Other
Accounts |
12 |
$3,816 |
0 |
$0 |
Simon
Webber |
|
|
|
|
Other
Registered Investment Companies |
7 |
$19,683 |
2 |
$12,856 |
Other
Pooled Investment Vehicles |
6 |
$4,319 |
1 |
$44 |
Other
Accounts |
17 |
$6,203 |
1 |
$1,615 |
Sustainable
International Core Fund | ||||
Nicholette
MacDonald-Brown |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
4 |
$518 |
0 |
$0 |
Other
Accounts |
4 |
$842 |
0 |
$0 |
Arianna
Fox |
|
|
|
|
Other
Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other
Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other
Accounts |
0 |
$0 |
0 |
$0 |
Tax-Aware
Bond Fund | ||||
Lisa
Hornby |
|
|
|
|
Other
Registered Investment Companies |
2 |
$334 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,400 |
0 |
$0 |
Other
Accounts |
111 |
$20,652 |
3 |
$263 |
Neil
G. Sutherland |
|
|
|
|
Other
Registered Investment Companies |
2 |
$334 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,400 |
0 |
$0 |
Other
Accounts |
111 |
$20,652 |
3 |
$263 |
Julio
C. Bonilla |
|
|
|
|
Other
Registered Investment Companies |
2 |
$334 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,400 |
0 |
$0 |
Other
Accounts |
111 |
$20,652 |
3 |
$263 |
David
May |
|
|
|
|
Other
Registered Investment Companies |
1 |
$171 |
0 |
$0 |
Other
Pooled Investment Vehicles |
17 |
$2,400 |
0 |
$0 |
Other
Accounts |
111 |
$20,652 |
3 |
$263 |
US
MidCap Opportunities Fund
| ||||
Robert
Kaynor |
|
|
|
|
Other
Registered Investment Companies |
1 |
$805 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$3,356 |
0 |
$0 |
Other
Accounts |
4 |
$282 |
0 |
$0 |
Joanna
Wald |
|
|
|
|
Other
Registered Investment Companies |
1 |
$805 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$3,356 |
0 |
$0 |
Other
Accounts |
4 |
$282 |
0 |
$0 |
US
Small Cap Opportunities Fund | ||||
Robert
Kaynor |
|
|
|
|
Other
Registered Investment Companies |
1 |
$256 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$3,356 |
0 |
$0 |
Other
Accounts |
4 |
$282 |
0 |
$0 |
Joanna
Wald |
|
|
|
|
Other
Registered Investment Companies |
1 |
$256 |
0 |
$0 |
Other
Pooled Investment Vehicles |
10 |
$3,356 |
0 |
$0 |
Other
Accounts |
4 |
$282 |
0 |
$0 |
Fund
|
Benchmark |
China
A Fund |
MSCI
China-A Onshore Index |
Core
Fixed Income Fund |
Bloomberg
US Aggregate Bond Index |
Diversified
Emerging Markets Fund |
MSCI
Emerging Markets Index (Net) |
Diversified
Growth Fund |
Performance
is measured based on the Fund achieving internal targets for
return
during the previous 12-month period. |
Emerging
Markets Equity Fund
|
MSCI
Emerging Markets Index (Net Total Return) |
Emerging
Markets Multi-Sector Bond Fund
|
JP
Morgan Emerging Markets Equal Weight Index |
International
Contrarian Value Fund |
MSCI
EAFE Value Index |
International
Multi-Cap Value Fund
|
MSCI
ACWI ex USA Index (Net) and MSCI ACWI ex USA Value Index
(Net) |
International
Stock Fund
|
Blend
of international benchmarks |
Sustainable
International Core Fund |
MSCI
ACWI ex USA Index |
Tax-Aware
Bond Fund
|
Performance
is measured based on the Fund achieving internal targets for
return
during the previous 12-month period |
US
MidCap Opportunities Fund
|
Russell
Midcap Index
|
US
Small Cap Opportunities Fund
|
Russell
2000 Index |
PORTFOLIO
MANAGER |
FUND(S)
SUB-ADVISED |
DOLLAR
RANGE OF EQUITY SECURITIES
BENEFICIALLY
OWNED |
Simon
Adler |
International
Contrarian Value Fund |
None |
Julio
C. Bonilla |
Core
Fixed Income Fund
Tax-Aware
Bond Fund |
None
$10,001
- $50,000 |
Robert
Davy |
Emerging
Markets Equity Fund |
None |
Nicholas
Field |
Emerging
Markets Equity Fund |
None |
Arianna
Fox |
Sustainable
International Core Fund |
None |
James
Gautrey |
International
Stock Fund |
None |
James
Gotto |
Emerging
Markets Equity Fund |
None |
Autumn
Graham |
Emerging
Markets Multi-Sector Bond Fund |
None |
Fernando
Grisales |
Emerging
Markets Multi-Sector Bond Fund |
$100,001
- $500,000 |
Abdallah
Guezour |
Emerging
Markets Multi-Sector Bond Fund |
None |
Waj
Hashmi |
Emerging
Markets Equity Fund |
None |
Lisa
Hornby |
Core
Fixed Income Fund
Tax-Aware
Bond Fund |
None
None |
Gordon
Huang |
Diversified
Emerging Markets Fund |
None |
Lukas
Kamblevicius |
International
Multi-Cap Value Fund |
None |
Robert
Kaynor |
US
MidCap Opportunities Fund
US
Small Cap Opportunities Fund |
$100,001
- $500,000
$100,001
- $500,000 |
Nick
Kirrage |
International
Contrarian Value Fund |
None |
Mina
Krishnan |
Diversified
Growth Fund |
None |
Johanna
Kyrklund |
Diversified
Growth Fund |
None |
Stephen
Langford |
International
Multi-Cap Value Fund |
None |
Jack
Lee |
China
A Fund |
None |
Eric
Lau |
Core
Fixed Income Fund |
None |
Nicholette
MacDonald-Brown |
Sustainable
International Core Fund |
None |
Gaia
Marinaccio |
Diversified
Growth Fund |
None |
David
May |
Tax-Aware
Bond Fund |
$1
- $10,000 |
Liam
Nunn |
International
Contrarian Value Fund |
None |
Remi
Olu-Pitan |
Diversified
Growth Fund |
None |
David
Philpotts |
Diversified
Emerging Markets Fund
International
Multi-Cap Value Fund |
None
None |
Rollo
Roscow |
Emerging
Markets Equity Fund |
None |
Neil
G. Sutherland |
Core
Fixed Income Fund
Tax-Aware
Bond Fund |
None
None |
PORTFOLIO
MANAGER |
FUND(S)
SUB-ADVISED |
DOLLAR
RANGE OF EQUITY SECURITIES
BENEFICIALLY
OWNED |
Joanna
Wald |
US
MidCap Opportunities Fund
US
Small Cap Opportunities Fund |
$100,001
- $500,000
$100,001
- $500,000 |
Simon
Webber |
International
Stock Fund |
None |
Tom
Wilson |
Diversified
Emerging Markets Fund
Emerging
Markets Equity Fund |
None
None |
FUND |
2023(1)
|
2022(1)
|
2021(1)
|
China
A Fund |
$63,290 |
$102,628 |
$94,016 |
Core
Fixed Income Fund |
$942 |
$0 |
$0 |
Diversified
Emerging Markets
Fund |
$110,826 |
$10,951 |
$4,691(2)
|
Diversified
Growth Fund |
$3,801(3)
|
N/A |
N/A |
Emerging
Markets Equity Fund
|
$3,762,004 |
$3,844,930 |
$3,703,958 |
Emerging
Markets Multi-Sector
Bond
Fund |
$860 |
$877 |
$186 |
International
Contrarian Value
Fund |
$3,835 |
$234(4)
|
N/A |
International
Multi-Cap Value
Fund |
$2,038,882 |
$1,986,185 |
$1,551,054 |
International
Stock Fund |
$971,999 |
$1,162,747 |
$973,885 |
Sustainable
International Core
Fund |
$207 |
$425(4)
|
N/A |
Tax-Aware
Bond Fund |
$0 |
$1,818 |
$12,757 |
US
MidCap Opportunities Fund |
$288,465 |
$299,566 |
$395,700 |
US
Small Cap Opportunities
Fund |
$316,939 |
$223,920 |
$252,722 |
FUND |
COMMISSIONS
PAID TO FIRMS FOR
RESEARCH
SERVICES* |
TOTAL
AMOUNT OF TRANSACTIONS INVOLVING
BROKERAGE
COMMISSIONS FOR RESEARCH
SERVICES |
China
A Fund |
$0 |
$0 |
Core
Fixed Income Fund |
$0 |
$0 |
Diversified
Emerging Markets
Fund |
$0 |
$0 |
Diversified
Growth Fund |
$0 |
$0 |
Emerging
Markets Equity Fund
|
$0 |
$0 |
Emerging
Markets Multi-Sector
Bond
Fund |
$0 |
$0 |
International
Contrarian Value
Fund |
$0 |
$0 |
International
Multi-Cap Value Fund |
$0 |
$0 |
International
Stock Fund |
$0 |
$0 |
Sustainable
International Core
Fund |
$0 |
$0 |
Tax-Aware
Bond Fund |
$0 |
$0 |
US
MidCap Opportunities Fund |
$249,421 |
$600,295,217 |
US
Small Cap Opportunities Fund |
$211,460 |
$199,094,063 |
FUND
|
REGULAR
BROKER OR DEALER
|
AGGREGATE
VALUE
|
China
A Fund | ||
|
N/A |
N/A |
Core
Fixed Income Fund | ||
|
Bank
of America Securities LLC |
$2,598,312 |
|
Citigroup
Global Markets, Inc. |
$2,160,099 |
|
Goldman
Sachs & Co. |
$1,149,247 |
|
Morgan
Stanley & Co., Inc. |
$753,077 |
FUND
|
REGULAR
BROKER OR DEALER |
AGGREGATE
VALUE |
Diversified
Emerging Markets Fund | ||
|
N/A |
N/A |
Diversified
Growth Fund | ||
|
Bank
of America Securities LLC |
$44,172 |
|
Citigroup
Global Markets, Inc. |
$21,443 |
|
Goldman
Sachs & Co. |
$25,807 |
|
HSBC
Holdings plc |
$41,366 |
|
J.P.
Morgan Securities, Inc. |
$1,728,755 |
|
Morgan
Stanley & Co., Inc. |
$123,354 |
|
UBS
AG |
$31,415 |
Emerging
Markets Equity Fund
| ||
|
N/A |
N/A |
Emerging
Markets Multi-Sector Bond Fund | ||
|
N/A |
N/A |
International
Contrarian Value Fund | ||
|
HSBC
Holdings plc |
$378,949 |
International
Multi-Cap Value Fund | ||
|
HSBC
Holdings plc |
$22,687,940 |
International
Stock Fund | ||
|
N/A |
N/A |
Sustainable
International Core Fund
| ||
|
N/A |
N/A |
Tax-Aware
Bond Fund | ||
|
N/A |
N/A |
US
MidCap Opportunities Fund | ||
|
N/A |
N/A |
US
Small Cap Opportunities Fund | ||
|
N/A |
N/A |
Fund |
Class
A |
Class
C |
Class
R3 |
Class
R4 |
China
A Fund |
$2,549 |
$175 |
N/A |
N/A |
Core
Fixed Income Fund |
N/A |
N/A |
$0 |
$0 |
Diversified
Emerging Markets Fund |
$36 |
$69 |
N/A |
N/A |
Diversified
Growth Fund |
N/A |
N/A |
N/A |
N/A |
Emerging
Markets Equity Fund
|
$897,484 |
$43,567 |
$407 |
$14,610 |
Emerging
Markets Multi-Sector Bond Fund |
$2,725 |
$1,269 |
$106 |
$1 |
International
Contrarian Value Fund(1)
|
N/A |
N/A |
N/A |
N/A |
International
Multi-Cap Value Fund |
$271,775 |
$99,500 |
$69,014 |
$13,089 |
International
Stock Fund |
$662,155 |
$186,333 |
$13,638 |
$10,550 |
Sustainable
International Core Fund |
N/A |
N/A |
N/A |
N/A |
Tax-Aware
Bond Fund |
$143,380 |
$53,082 |
N/A |
N/A |
US
MidCap Opportunities Fund |
$305,312 |
$389,167 |
$9,421 |
$1,094 |
US
Small Cap Opportunities Fund |
$80,704 |
$58,024 |
$5,023 |
$1,626 |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
5.50% |
5.82% |
4.75% |
$50,000
or more but less than $100,000
|
4.50% |
4.71% |
4.00% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more but less than $500,000
|
2.50% |
2.56% |
2.00% |
$500,000
or more but less than $1 million
|
2.00% |
2.04% |
1.75% |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
$1
million or more(1)
|
0% |
0% |
See
below |
AMOUNT
OF PURCHASE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
OFFERING
PRICE |
FRONT-END
SALES CHARGE
AS
A PERCENTAGE OF
AMOUNT
INVESTED |
COMMISSION
AS
PERCENTAGE
OF OFFERING
PRICE |
Less
than $50,000
|
4.50% |
4.71% |
3.75% |
$50,000
or more but less than $100,000
|
4.00% |
4.17% |
3.50% |
$100,000
or more but less than $250,000
|
3.50% |
3.63% |
3.00% |
$250,000
or more but less than $500,000
|
2.50% |
2.56% |
2.00% |
$500,000
or more but less than $1 million
|
2.00% |
2.04% |
1.75% |
$1
million or more(1)
|
0% |
0% |
See
below |
YEAR/CLASS |
FRONT-END
SALES COMMISSIONS |
CDSC |
AMOUNT
REALLOWED |
AMOUNT
RETAINED |
2023 |
|
|
|
|
Class
A |
$1,037,868 |
$15,065 |
$884,168 |
$168,765 |
Class
C
|
N/A |
$7,011 |
N/A |
$7,011 |
2022 |
|
|
|
|
Class
A |
$931,605 |
$27,137 |
$791,910 |
$166,832 |
Class
C
|
N/A |
$12,087 |
N/A |
$12,087 |
2021 |
|
|
|
|
Class
A |
$1,641,446 |
$29,865 |
$1,395,760 |
$275,551 |
Class
C
|
N/A |
$2,248 |
N/A |
$2,248 |
FUND |
SHORT-TERM
CAPITAL LOSS CARRYFORWARD
WITH
NO EXPIRATION |
LONG-TERM
CAPITAL LOSS CARRYFORWARD
WITH
NO EXPIRATION |
China
A Fund
|
$9,121,179 |
$11,960,901 |
Core
Fixed Income Fund*
|
$11,249,730 |
$8,339,922 |
Diversified
Emerging Markets Fund |
$2,140,513 |
$458,751 |
Emerging
Markets Equity Fund |
$733,385,536 |
$414,717,119 |
Emerging
Markets Multi-Sector Bond Fund*
|
$13,203,318 |
$7,083,407 |
International
Multi-Cap Value Fund |
$183,227,995 |
$133,951,051 |
International
Stock Fund |
$220,346,489 |
$88,322,383 |
Sustainable
International Core Fund |
$14,602 |
$0 |
Tax-Aware
Bond Fund |
$15,967,914 |
$13,787,919 |
US
Small Cap Opportunities Fund |
$2,303,313 |
$0 |
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
CHINA
A FUND | |||||||||
SEI
PRIVATE TRUST COMPANY*
OAKS
PA
|
|
|
|
|
|
|
|
41.53% |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
82.84% |
|
|
|
|
|
|
GERLACH
& CO LLC/CITIBANK
TAMPA
FL
|
11.80% |
|
|
|
|
|
|
|
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
8.04% |
88.66% |
|
|
|
|
82.54% |
19.15% |
|
JP
MORGAN SECURITIES LLC OMNIBUS AC
BROOKLYN
NY
|
58.55% |
|
|
|
|
|
|
|
|
MERCER
FFTC EMERGING MARKETS EQUITY INVEST-
MENT
PORTFOLIO LLC
BOSTON
MA
|
|
|
|
|
|
|
|
9.27% |
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
16.49% |
|
|
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
13.30% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
6.28% |
|
|
|
|
17.46% |
|
|
RELIANCE
TRUST CO FBO
ATLANTA
GA
|
|
|
|
|
|
|
|
29.98% |
|
SCHRODER
US HOLDINGS INC**
NEW
YORK NY
|
|
|
|
|
|
|
|
|
100.00% |
UMB
BANK NA
IRVINE
CA
|
|
5.07% |
|
|
|
|
|
|
|
CORE
FIXED INCOME FUND | |||||||||
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
|
36.44% |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
7.75% |
|
|
CITI
PRIVATE BANK
JERSEY
CITY NJ
|
|
|
|
|
|
|
|
|
25.26% |
GERLACH
& CO LLC/CITIBANK
TAMPA
FL
|
|
|
|
|
|
|
15.54% |
|
|
THE
HARTFORD CONSERVATIVE ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
20.24% |
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
100.00% |
100.00% |
100.00% |
|
|
|
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
33.60% |
|
HARTFORD
MODERATE ALLOCATION FUND*
WAYNE
PA
|
|
|
|
|
|
|
|
41.44% |
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
80.36% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
12.10% |
|
|
|
5.10% |
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
|
6.55% |
|
|
|
|
|
|
RELIANCE
TRUST CO FBO
ATLANTA
GA
|
|
|
|
|
|
|
|
|
31.34% |
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
|
|
|
|
|
|
5.40% |
STATE
STREET BANK CUSTODIAN
BOSTON
MA
|
|
|
|
|
|
|
23.78% |
|
|
VANGUARD
FIDUCIARY TRUST COMPANY
VALLEY
FORGE PA
|
|
|
|
|
|
|
42.45% |
|
|
DIVERSIFIED
EMERGING MARKETS FUND | |||||||||
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
|
|
36.17% |
|
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC*
WAYNE
PA
|
26.50% |
100.00% |
|
|
|
|
63.83% |
100.00% |
|
MLPF&S
FOR THE SOLE BENEFIT OF*
JACKSONVILLE
FL
|
|
|
|
|
|
|
|
|
44.98% |
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
97.69% |
|
|
|
|
|
13.98% |
SCHRODER
US HOLDINGS INC**
NEW
YORK NY
|
|
|
|
|
|
|
|
|
35.95% |
UMB
BANK NA
BUTLER
TN
|
8.10% |
|
|
|
|
|
|
|
|
UMB
BANK NA
HANOVER
PA
|
10.91% |
|
|
|
|
|
|
|
|
UMB
BANK NA
PORTAGE
WI
|
15.80% |
|
|
|
|
|
|
|
|
UMB
BANK NA
TEMECULA
CA
|
17.72% |
|
|
|
|
|
|
|
|
UMB
BANK NA
ZIONVILLE
NC
|
6.34% |
|
|
|
|
|
|
|
|
UMB
BANK NA
ZIONVILLE
NC |
6.81% |
|
|
|
|
|
|
|
|
DIVERSIFIED
GROWTH FUND | |||||||||
FACTORY
MUTUAL INSURANCE COMPANY*
JOHNSTON
RI
|
|
|
|
|
|
|
|
|
100.00% |
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
93.37% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
6.63% |
|
|
|
|
|
|
EMERGING
MARKETS EQUITY FUND | |||||||||
BAND
& CO
MILWAUKEE
WI
|
|
|
|
|
|
|
|
13.66% |
|
[REDACTED]
TTEE FBO
GREENWOOD
VILLAGE CO
|
|
|
|
36.44% |
|
|
|
|
|
CAPINCO
MILWAUKEE
WI
|
|
|
|
|
|
|
8.32% |
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
|
|
|
|
25.25% |
|
|
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
14.01% |
|
|
|
|
|
[REDACTED]
TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
26.85% |
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
FOLSOM
CA
|
|
|
|
|
|
96.41% |
|
|
|
MLPF&S
INC*
JACKSONVILLE
FL
|
5.07% |
|
59.10% |
|
|
|
|
71.38% |
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
35.55% |
29.79% |
14.98% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
90.71% |
|
|
|
|
|
47.13% |
|
|
NATIONAL
FINANCIAL SVCS CORP LLC
JERSEY
CITY NJ
|
|
|
|
|
|
|
|
|
64.78% |
NORTHERN
TRUST COMPANY CUST FBO INTER-
AMERICAN
DEVELOPEMENT BANK
WASHINGTON
DC
|
|
|
|
|
|
|
|
|
5.12% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
9.77% |
|
|
|
|
16.06% |
|
|
PIMS/PRUDENTIAL
RETIREMENT
PORTLAND
OR
|
|
|
|
|
79.68% |
|
|
|
|
[REDACTED]
TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
7.72% |
|
|
|
|
|
UBS
WM USA
WEEHAWKEN
NJ |
|
37.31% |
|
|
|
|
|
|
|
VOYA
INSTITUTIONAL TRUST CO
WINDSOR
CT
|
|
|
|
|
17.92% |
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
7.71% |
|
|
|
|
|
|
|
EMERGING
MARKETS MULTI-SECTOR BOND FUND | |||||||||
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
19.83% |
|
|
|
|
|
|
MAC
& CO
PITTSBURGH
PA
|
|
|
|
|
|
|
96.73% |
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
50.65% |
|
|
|
|
|
|
|
|
EMPLOYEES
SECURITY FUND OF THE
FLUSHING
NY
|
|
|
|
|
|
|
|
|
9.56% |
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC
WAYNE
PA
|
|
|
|
30.80% |
100.00% |
100.00% |
|
51.95% |
|
[REDACTED]
CLEVELAND
OH
|
|
|
|
69.20% |
|
|
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
5.30% |
62.85% |
22.14% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SVCS CORP LLC
JERSEY
CITY NJ
|
16.48% |
|
|
|
|
|
|
|
|
PENSION
HOSPTIALIZATION & BENEFIT*
FLUSHIING
NY
|
|
|
|
|
|
|
|
|
79.11% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
5.91% |
|
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
12.76% |
|
|
|
|
|
|
48.05% |
|
UBS
WM USA
WEEHAWKEN
NJ |
|
25.00% |
38.05% |
|
|
|
|
|
|
VANGUARD
BROKERAGE SERVICES
MALVERN
PA
|
|
|
8.34% |
|
|
|
|
|
|
VANGUARD
FIDUCIARY TRUST COMPANY
VALLEY
FORGE PA
|
|
|
|
|
|
|
|
|
10.62% |
INTERNATIONAL
CONTRARIAN VALUE FUND | |||||||||
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC*
WAYNE
PA
|
98.45% |
100.00% |
96.85% |
|
|
100.00% |
100.00% |
100.00% |
|
SCHRODER
US HOLDINGS INC**
NEW
YORK NY
|
|
|
|
|
|
|
|
|
100.00% |
INTERNATIONAL
MULTI-CAP VALUE FUND | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
10.70% |
|
|
|
|
|
|
CAPINCO
MILWAUKEE
WI
|
|
|
|
|
|
|
|
5.16% |
|
CAPITAL
BANK & TRUST CO TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
|
16.31% |
|
|
|
|
CAPITAL
BANK & TRUST COMPANY TTEE
GREENWOOD
VILLAGE CO
|
|
|
|
|
17.99% |
|
|
|
|
CAPITAL
BANK & TRUST COMPANY TTEE F LYONS
GADDIS
PC 401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
10.40% |
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
8.30% |
|
9.73% |
|
|
26.01% |
52.30% |
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
|
10.03% |
|
|
|
|
|
|
[REDACTED]
GREENWOOD
VLG CO
|
|
|
|
|
5.83% |
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
58.01% |
|
|
|
|
|
|
55.00% |
|
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
5.82% |
|
|
|
|
THE
HARTFORD GROWTH ALLOCATION FUND
WAYNE
PA
|
|
|
|
|
|
|
|
7.45% |
|
MATRIX
TRUST COMPANY CUST FBO
DENVER
CO
|
|
|
|
|
|
6.64% |
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
|
9.14% |
|
|
|
|
MINNESOTA
LIFE INSURANCE COMPANY
SAINT
PAUL MN
|
|
|
|
|
|
6.91% |
|
|
|
MLPF&S
INC
JACKSONVILLE
FL
|
|
|
5.97% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
17.63% |
6.33% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
6.60% |
20.53% |
|
|
32.73% |
25.72% |
14.41% |
|
NATIONAL
FINANCIAL SVCS CORP LLC
JERSEY
CITY NJ
|
14.89% |
|
|
|
|
|
|
|
61.31% |
OLTRUST
& CO - PLANREINVESTREINVEST
EVANSVILLE
IN
|
|
|
|
|
|
13.98% |
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
18.03% |
|
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
11.76% |
|
|
|
13.45% |
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
26.96% |
|
|
|
|
|
|
|
SEI
PRIVATE TRUST COMPANY
OAKS
PA
|
|
|
9.86% |
|
|
|
|
|
|
THE
HARTFORD
HARTFORD
CT
|
|
|
|
|
6.83% |
|
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
UBS
WM USA
WEEHAWKEN
NJ |
|
9.32% |
5.03% |
|
|
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
7.38% |
|
|
|
|
|
|
|
WV
SAVINGS PLAN TRUSTEE FBO
WAYNE
PA
|
|
|
|
|
|
|
|
8.80% |
|
INTERNATIONAL
STOCK FUND | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
6.16% |
|
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
|
6.85% |
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
11.54% |
|
13.56% |
|
|
|
68.56% |
|
|
[REDACTED]
TTEE
GREENWOOD
VLG CO
|
|
|
|
|
9.15% |
|
|
|
|
DCGT
AS TTEE AND/OR CUST FBO PLIC VARIOUS
RETIREMENT
PLANS
DES
MOINES IA |
|
|
|
|
|
|
|
|
5.83% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS*
SAINT
LOUIS MO
|
57.58% |
|
|
|
|
|
|
90.82% |
|
EMPOWER
TRUST FBO EMPLOYEE BENEFITS CLIENTS
401K
GREENWOOD
VILLAGE CO
|
|
|
|
|
44.11% |
9.33% |
|
|
|
JP
MORGAN SECURITIES LLC OMNIBUS AC
BROOKLYN
NY
|
|
7.59% |
|
|
|
|
|
|
|
LINCOLN
RETIREMENT SERVICES COMPANY
FORT
WAYNE IN
|
|
|
|
39.66% |
|
|
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
|
|
10.89% |
|
|
|
|
|
|
MLPF&S
FOR THE SOLE BENEFIT OF
JACKSONVILLE
FL
|
|
|
|
|
|
|
7.65% |
|
6.54% |
MLPF&S
INC
JACKSONVILLE
FL
|
|
|
7.06% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
7.30% |
44.54% |
16.68% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
|
|
|
17.92% |
11.18% |
|
|
NATIONAL
FINANCIAL SVCS CORP LLC
JERSEY
CITY NJ
|
8.77% |
|
17.79% |
|
|
|
|
|
38.56% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
5.36% |
|
|
|
|
8.54% |
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
11.35% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL |
|
|
5.14% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
7.65% |
|
|
|
|
|
|
|
STATE
STREET BANK & TRUST COMPANY
BOSTON
MA
|
|
|
|
28.85% |
6.04% |
|
|
|
|
STIFEL
NICOLAUS & CO INC EXCLUSIVE BENEFIT OF
CUSTOMERS
ST
LOUIS MO
|
|
8.00% |
|
|
|
|
|
|
|
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE
NC |
|
|
|
|
6.22% |
56.60% |
|
|
12.70% |
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
|
5.44% |
|
|
|
|
|
|
|
SUSTAINABLE
INTERNATIONAL CORE FUND | |||||||||
HARTFORD
FUNDS MANAGEMENT COMPANY, LLC*
WAYNE
PA
|
|
|
91.69% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
8.31% |
|
|
|
|
|
|
SCHRODER
US HOLDINGS INC**
NEW
YORK NY
|
|
|
|
|
|
|
|
|
100.00% |
TAX-AWARE
BOND FUND | |||||||||
ABELL
LIVESTOCK COMPANY LLC PARTNERSHIP
HOUSTON
TX
|
|
|
|
|
|
|
|
|
6.17% |
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
16.03% |
15.32% |
|
|
|
|
|
|
BAND
& CO
MILWAUKEE
WI
|
|
|
|
|
|
|
|
|
9.26% |
[REDACTED]
HOUSTON
TX
|
|
|
|
|
|
|
|
|
17.55% |
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA
|
|
6.47% |
|
|
|
|
|
|
|
COLONIAL
TRUST COMPANY TTEE
CHARLESTON
SC
|
|
|
|
|
|
|
|
|
8.39% |
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
61.37% |
9.47% |
|
|
|
|
|
91.89% |
|
LIANO
RANCHES LP PARTNERSHIP
AUSTIN
TX |
|
|
|
|
|
|
|
|
5.17% |
LPL
FINANCIAL
SAN
DIEGO CA
|
|
9.80% |
13.04% |
|
|
|
|
|
|
MLPF&S
INC
JACKSONVILLE
FL
|
|
|
9.17% |
|
|
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
|
17.52% |
8.46% |
|
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
|
|
|
|
|
5.63% |
|
NATIONAL
FINANCIAL SVCS CORP LLC
JERSEY
CITY NJ
|
11.65% |
|
12.37% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
12.76% |
|
|
|
|
95.92% |
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
6.06% |
|
10.87% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL |
5.61% |
|
11.37% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
21.30% |
|
|
|
|
|
|
|
SAXON
& CO
CLEVELAND
OH
|
|
|
|
|
|
|
|
|
7.41% |
UBS
WM USA
WEEHAWKEN
NJ |
5.54% |
|
11.93% |
|
|
|
|
|
|
WASHINCO
MILWAUKEE
WI
|
|
|
|
|
|
|
|
|
29.62% |
US
MIDCAP OPPORTUNITIES FUND | |||||||||
[REDACTED]
TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
7.95% |
|
|
|
|
|
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
9.77% |
|
|
|
|
|
|
AMERICAN
UNITED LIFE INS CO
INDIANAPOLIS
IN
|
|
|
|
|
5.83% |
|
|
|
|
AMERICAN
UNITED LIFE INS CO GROUP RETIREMENT
ACCOUNT
INDIANAPOLIS
IN
|
|
|
|
|
6.83% |
|
|
|
|
ASCENSUS
TRUST CO FBO
FARGO
ND
|
|
|
|
|
35.80% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
29.99% |
30.85% |
33.33% |
|
|
|
C/O
MISSIONSQUARE RETIREMENT
BRADENTON
FL
|
|
|
|
|
|
13.70% |
|
|
|
CAPITAL
BANK & TRUST CO FBO
GREENWOOD
VLG CO
|
|
|
|
15.27% |
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
48.21% |
|
|
|
|
|
|
91.65% |
|
EMPOWER
TRUST FBO
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
|
|
8.08% |
EMPOWER
TRUST FBO EMPOWER BENEFIT PLANS
GREENWOOD
VILLAGE CO
|
|
|
|
|
|
|
|
|
15.53% |
JOHN
HANCOCK LIFE INSURANCE CO USA
BOSTON
MA |
|
|
|
|
|
|
|
|
13.95% |
[REDACTED]
TTEE FBO
GREENWOOD
VLG CO
|
|
|
|
|
|
31.60% |
|
|
|
LPL
FINANCIAL
SAN
DIEGO CA
|
7.37% |
7.17% |
14.37% |
|
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
|
11.42% |
|
|
|
|
MATRIX
TRUST COMPANY CUST FBO
DENVER
CO
|
|
|
|
12.60% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO GENESIS
AUTOMATION
INC 401(K) PROFI
PITTSBURGH
PA
|
|
|
|
8.02% |
|
|
|
|
|
MID
ATLANTIC TRUST COMPANY FBO GRANITE BAY
ACE
HARDWARE INC 401(K)
PITTSBURGH
PA
|
|
|
|
|
|
8.54% |
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
MID
ATLANTIC TRUST COMPANY FBO O RING SALES
AND
SERVICE INC 401(K)
PITTSBURGH
PA
|
|
|
|
|
|
6.21% |
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC FOR THE
EXCLUSIVE
BENE OF ITS CUST
NEW
YORK NY
|
5.82% |
8.17% |
14.92% |
9.73% |
|
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
9.69% |
|
|
|
|
91.92% |
6.28% |
9.45% |
NATIONAL
FINANCIAL SVCS CORP LLC
JERSEY
CITY NJ
|
7.11% |
|
11.90% |
|
|
|
|
|
|
NATIONWIDE
TRUST COMPANY FSB
CHARLOTTE
NC |
|
|
|
|
|
|
|
|
6.61% |
PERSHING
LLC
JERSEY
CITY NJ
|
|
5.49% |
|
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
|
13.67% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL |
|
|
8.60% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
17.06% |
|
|
|
|
|
|
|
VANGUARD
FIDUCIARY TRUST COMPANY
VALLEY
FORGE PA
|
|
|
|
|
|
|
|
|
8.67% |
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
8.29% |
39.46% |
7.05% |
|
|
|
|
|
|
US
SMALL CAP OPPORTUNITIES FUND | |||||||||
AMERICAN
ENTERPRISE INVESTMENT SVC
MINNEAPOLIS
MN
|
|
|
6.48% |
|
|
|
|
|
|
[REDACTED]
GREENWOOD
VLG CO
|
|
|
|
|
|
7.83% |
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
5.44% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
6.18% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND
|
|
|
|
9.53% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
6.77% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
17.80% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
5.96% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
11.64% |
|
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
|
35.91% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
|
5.89% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
FARGO
ND |
|
|
|
|
15.91% |
|
|
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO CA |
|
|
25.75% |
|
|
|
|
|
|
EDWARD
D JONES & CO FOR THE BENEFIT OF
CUSTOMERS
SAINT
LOUIS MO
|
39.92% |
|
|
|
|
|
|
85.36% |
|
LPL
FINANCIAL
SAN
DIEGO CA
|
8.71% |
5.22% |
|
|
|
|
|
|
|
MAC
& CO
PITTSBURGH
PA
|
|
|
|
|
|
|
|
|
14.03% |
MATRIX
TRUST COMPANY AGENT FOR
BARTOW
FL
|
|
|
|
6.29% |
|
|
|
|
|
MATRIX
TRUST COMPANY AS AGENT FOR
DENVER
CO
|
|
|
|
|
6.85% |
51.78% |
|
|
|
MID
ATLANTIC TRUST COMPANY FBO
PITTSBURGH
PA
|
|
|
|
|
21.95% |
16.00% |
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY NJ
|
|
|
|
|
|
|
91.13% |
|
19.55% |
NATIONAL
FINANCIAL SVCS CORP LLC
JERSEY
CITY NJ
|
5.67% |
|
9.37% |
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
|
7.71% |
|
|
|
|
|
|
|
PERSHING
LLC
JERSEY
CITY NJ
|
10.57% |
|
8.58% |
|
|
|
|
|
|
RAYMOND
JAMES
ST
PETERSBURG FL |
5.25% |
|
13.59% |
|
|
|
|
|
|
FUND
/ SHAREHOLDER |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R3 |
CLASS
R4 |
CLASS
R5 |
CLASS
Y |
CLASS
F |
CLASS
SDR |
RAYMOND
JAMES
ST
PETERSBURG FL
|
|
29.03% |
|
|
|
|
|
|
|
RELIANCE
TRUST CO FBO
ATLANTA
GA
|
|
|
|
|
|
|
|
|
14.53% |
SAXON
& CO
CLEVELAND
OH
|
|
|
|
|
|
|
|
9.51% |
|
[REDACTED]
GREENWOOD
VLG CO
|
|
|
|
8.05% |
|
|
|
|
|
VOYA
INSTITUTIONAL TRUST CUST
WINDSOR
CT
|
|
|
|
|
|
|
|
|
42.69% |
WELLS
FARGO CLEARING SERVICES LLC
SAINT
LOUIS MO
|
6.37% |
43.22% |
7.88% |
|
|
|
|
|
|