|
Class |
Ticker
Symbol |
Alger
Spectra Fund (“Spectra Fund”) |
A
C
I
Y
Z |
SPECX
ASPCX
ASPIX
ASPYX
ASPZX |
Alger
Responsible Investing Fund (“Responsible Fund”) |
A
C
I
Z |
SPEGX
AGFCX
AGIFX
ALGZX |
Alger
Dynamic Opportunities Fund (“Dynamic Fund”) |
A
C
Z |
SPEDX
ADOCX
ADOZX |
Alger
Emerging Markets Fund (“Emerging Fund”) |
A
C
I
Z |
AAEMX
ACEMX
AIEMX
AZEMX |
|
Broker
Commissions Paid for 2021 |
| ||||
|
|
Paid
to Alger LLC |
Soft
Dollar Transactions | |||
|
Total
Paid
by
the
Fund |
Dollar
Amount
Paid
to
Alger
LLC |
%
of
Brokerage
Commissions
Paid
to
Alger
LLC |
%
of
Dollar
Amount
of
Transactions
Effected
through
Alger
LLC |
Value
of
Transactions |
Commissions |
Spectra
Fund |
$7,147,568 |
$1,483,981 |
21% |
24% |
$5,717,057,522 |
$1,954,508 |
Responsible
Fund |
$5,621 |
$3,552 |
63% |
67% |
$41,319 |
$11 |
Dynamic
Fund |
$2,073,589 |
$270,020 |
13% |
14% |
$766,395,719
|
$652,691 |
Emerging
Fund |
$156,230 |
$- |
0% |
0% |
$- |
$- |
|
$9,383,008 |
$1,757,553 |
19% |
22% |
$6,483,494,560 |
$2,607,210 |
|
Broker
Commissions Paid for 2022 |
| ||||
|
|
Paid
to Alger LLC |
Soft
Dollar Transactions | |||
|
Total
Paid
by
the
Fund |
Dollar
Amount
Paid
to
Alger
LLC |
%
of
Brokerage
Commissions
Paid
to
Alger
LLC |
%
of
Dollar
Amount
of
Transactions
Effected
through
Alger
LLC |
Value
of
Transactions |
Commissions |
Spectra
Fund |
$10,994,717 |
$2,100,702 |
19% |
20% |
$8,784,965,059 |
$2,882,625 |
Responsible
Fund |
$6,688 |
$3,674 |
55% |
60% |
$746,353 |
$116 |
Dynamic
Fund |
$3,435,947
|
$370,515 |
11% |
13% |
$935,691,386
|
$865,479 |
Emerging
Fund |
$155,758 |
$269 |
0% |
0% |
$845,720 |
$1,886 |
|
$14,593,110 |
$2,475,160 |
17% |
19% |
$9,722,248,518 |
$3,750,106 |
|
Broker
Commissions Paid for 2023 |
| ||||
|
|
Paid
to Alger LLC |
Soft
Dollar Transactions | |||
|
Total
Paid
by
the
Fund |
Dollar
Amount
Paid
to
Alger
LLC |
%
of
Brokerage
Commissions
Paid
to
Alger
LLC |
%
of
Dollar
Amount
of
Transactions
Effected
through
Alger
LLC |
Value
of
Transactions |
Commissions |
Spectra
Fund |
$2,571,823 |
$330,280 |
13% |
12% |
$1,789,927,676 |
$862,640 |
Responsible
Fund |
$4,860 |
$3,287 |
68% |
68% |
$1,546,051
|
$770 |
Dynamic
Fund |
$3,034,194 |
$416,679 |
14% |
15% |
$1,023,079,820 |
$880,111 |
Emerging
Fund |
$128,412 |
$1,203 |
1% |
1% |
$1,986,433 |
$2,702 |
|
$5,739,289 |
$751,449 |
13% |
13% |
$2,816,539,980 |
$1,746,223 |
Spectra
Fund |
Dollar
Value of Securities Owned |
J.P.
Morgan Chase & Co. |
$1,925,564* |
Responsible
Investing Fund |
Dollar
Value of Securities Owned |
Morgan
Stanley |
$830,860 |
Emerging
Markets Fund |
Dollar
Value of Securities Owned |
Banco
BTG Pactual SA |
$293,601 |
Fund |
Class
A |
Class
C |
Class
I |
Alger
Spectra Fund |
$2,341,123 |
$2,058,464 |
$327,172 |
Alger
Responsible Investing Fund |
$95,730 |
$24,342 |
$12,041 |
Alger
Dynamic Opportunities Fund |
$134,173 |
$113,795 |
$—
|
Alger
Emerging Markets Fund |
$8,678 |
$13,818 |
$3,265 |
|
Responsible
Investing
Fund |
Spectra
Fund |
Emerging
Markets
Fund |
Dynamic
Opportunities
Fund |
Total |
Advertising
& Promotion |
$2,559 |
$63,525
|
$250 |
$4,024 |
$70,358
|
Compensation
to Dealers |
96,768 |
2,057,439 |
13,017 |
132,656 |
2,299,880 |
Compensation
to Sales Personnel |
6,952 |
172,525 |
681 |
10,953 |
191,111 |
Printing |
312 |
7,737 |
30 |
491 |
8,570 |
Total
Selling Expenses |
$106,591 |
$2,301,226 |
$13,978 |
$148,124 |
$2,569,919 |
|
Responsible
Investing
Fund |
Spectra
Fund |
Emerging
Markets
Fund |
Dynamic
Opportunities
Fund |
Total |
Advertising
& Promotion |
$180 |
$14,615
|
$99 |
$845 |
$15,739
|
Compensation
to Dealers |
22,836 |
1,881,056 |
12,608 |
110,185 |
2,026,685 |
Compensation
to Sales Personnel |
490 |
39,745 |
270 |
2,299 |
42,804 |
Printing |
22 |
1,781 |
12 |
103 |
1,918 |
Total
Selling Expenses |
$23,528 |
$1,937,197 |
$12,989 |
$113,432 |
$2,087,146 |
|
Responsible
Investing
Fund |
Spectra
Fund |
Emerging
Markets
Fund |
Total |
Advertising
& Promotion |
$332 |
$9,467 |
$94 |
$9,893 |
Compensation
to Dealers |
15,399 |
315,405 |
7,405 |
338,209 |
Compensation
to Sales Personnel |
903 |
25,747 |
256 |
26,906 |
Printing |
40 |
1,154 |
11 |
1,205 |
Total
Selling Expenses |
$16,674 |
$351,773 |
$7,766 |
$376,213 |
Name,
(Year of Birth), and
Address(1) |
Position(s)
Held
with
the
Trust
and
Length
of
Time
Served |
Principal
Occupation(s) During
Past
Five Years |
Number
of
Funds
in
the Alger
Fund
Complex(3)
which
are
Overseen
by
Trustee |
Other
Directorships
Held
by Trustee
During
Past
Five
Years |
Interested
Trustee(2):
|
|
|
|
|
Hilary
M. Alger (1961) |
Trustee
since
2003 |
Non-profit
Fundraising Consultant since
2015,
Schultz & Williams; Non-profit
Fundraising
Consultant since 2014, Hilary
Alger
Consulting; Emeritus Trustee since
2020
and Trustee from 2013 to 2020,
Philadelphia
Ballet; School Committee
Member
from 2017 to 2023, Germantown
Friends
School; Trustee, Target Margin
Theatre
from 1995 to 2023. |
28 |
Board
of Directors, Alger
Associates,
Inc. |
Non-Interested
Trustees: |
|
|
|
|
Charles
F. Baird, Jr. (1953) |
Trustee
since
2000 |
Managing
Partner of North Castle Partners
(private
equity securities group). |
28 |
|
David
Rosenberg (1962) |
Trustee
since
2007 |
Associate
Professor of Law since August
2000,
Zicklin School of Business, Baruch
College,
City University of New York. |
28 |
|
Nathan
E. Saint-Amand M.D.
(1938) |
Trustee
since
1986 |
Medical
doctor in private practice since
1970;
Member of the Board of the
Manhattan
Institute (non-profit policy
research)
since 1988. |
28 |
|
Name
(Year of Birth),
Position
with
Trust
and Address(1) |
Principal
Occupations |
Officer
Since |
Officers(2): |
|
|
Hal
Liebes (1964)
President,
Principal
Executive Officer |
Executive
Vice President, Chief Operating Officer (“COO”), and Secretary, Alger
Management;
COO and Secretary, Alger Associates, Inc. and Weatherbie Capital, LLC;
COO,
Vice President, Secretary and Manager, Alger Group Holdings, LLC and Alger
Capital,
LLC; Director, Alger SICAV; Executive Director and Chairman, Alger
Management,
Ltd.; Manager and Secretary, Alger Apple Real Estate LLC; Manager, Alger
Partners
Investors I, LLC, Alger Partners Investors II, LLC, Alger Partners
Investors KEIGF,
Alger
Partners Investors-Crossbay LLC and Redwood Investments, LLC; Secretary,
Alger
Boulder
I LLC. |
2005 |
Tina
Payne (1974)
Secretary,
Chief
Compliance Officer,
Chief
Legal Officer |
Senior
Vice President, General Counsel, Chief Compliance Officer (“CCO”) and
Assistant
Secretary,
Alger Management; Senior Vice President, General Counsel and Secretary,
Alger
LLC;
CCO, Alger Management, Ltd. and Redwood Investments, LLC; Assistant
Secretary,
Weatherbie
Capital, LLC; Vice President and Assistant Secretary, Alger Group
Holdings,
LLC. |
2017 |
Michael
D. Martins (1965)
Treasurer,
Principal
Financial Officer |
Senior
Vice President, Alger Management. |
2005 |
Sergio
M. Pavone (1961)
Assistant
Treasurer |
Vice
President, Alger Management. |
2007 |
Mia
G. Pillinger (1989)
Assistant
Secretary |
Vice
President, Associate Counsel of Alger Management since 2020. Formerly,
Associate at
Willkie
Farr & Gallagher, LLP, from 2016 to 2020. |
2020 |
Sushmita
Sahu (1981)
AML
Compliance Officer |
Vice
President, Alger Management. |
2021 |
Name
of Person |
Aggregate
Compensation
from
The Alger Funds II*± |
Total
Compensation
Paid
to Trustee from
The
Alger Fund Complex*± |
Charles
F. Baird, Jr |
$42,002 |
$169,000 |
David
Rosenberg |
$41,159 |
$165,750 |
Nathan
E. Saint-Amand |
$41,907 |
$169,000 |
|
Hilary
M.
Alger |
Charles
F.
Baird,
Jr. |
David
Rosenberg |
Nathan
E.
Saint-Amand |
Spectra
Fund |
E |
A |
A |
E |
Responsible
Fund |
E |
A |
B |
A |
Dynamic
Fund |
E |
E |
A |
A |
Emerging
Fund |
A |
A |
A |
A |
Aggregate
Equity Securities of Funds in the Alger Fund Complex |
E |
E |
C |
E |
Fund |
Annual
Fee as a Percentage
of
Average Daily Net Assets |
Alger
Spectra Fund |
.90% for
assets up to $2 billion;
.75% for
assets between $2 billion and $4 billion;
.65% for
assets between $4 billion and $6 billion;
.55% for
assets between $6 billion and $8 billion;
.45% for
assets in excess of $8 billion |
Alger
Responsible Investing Fund |
.71% for
assets up to $1 billion;
.65% for
assets in excess of $1 billion |
Alger
Dynamic Opportunities Fund |
1.20% for
assets up to $1 billion;
1.00% for
assets in excess of $1 billion |
Alger
Emerging Markets Fund |
.75% |
Fund |
Class |
Waiver |
Alger
Spectra Fund* |
Y |
0.28% |
Z |
0.34% | |
Alger
Responsible Investing Fund** |
A |
0.38% |
I |
0.38% | |
Z |
0.24% | |
Alger
Dynamic Opportunities Fund*** |
A |
0.80% |
C |
1.55% | |
Z |
0.55% | |
Alger
Emerging Markets Fund**** |
A |
0.80% |
C |
1.55% | |
I |
0.70% | |
Z |
0.24% |
Fund |
2023 |
2022 |
2021 |
Alger
Spectra Fund |
$25,446,510 |
$42,104,206 |
$57,637,716 |
Alger
Responsible Investing Fund |
$509,912
|
$575,917
|
$623,194 |
Alger
Dynamic Opportunities Fund |
$4,764,674 |
$7,843,980 |
$8,435,901 |
Alger
Emerging Markets Fund |
$182,199
|
$290,786
|
$273,861 |
Fund |
2023 |
2022 |
2021 |
Alger
Spectra Fund |
$258,643 |
$118,268 |
$—
|
Alger
Responsible Investing Fund |
$14,461 |
$19,965 |
$3,496 |
Alger
Dynamic Opportunities Fund |
$—
|
$4,633,968 |
$3,026,870 |
Alger
Emerging Markets Fund |
$163,745 |
$158,492 |
$104,236 |
Fund |
2023 |
2022 |
2021 |
Alger
Spectra Fund |
$823,039 |
$1,514,885 |
$2,244,692 |
Alger
Responsible Investing Fund |
$19,750 |
$22,307 |
$24,138 |
Alger
Dynamic Opportunities Fund |
$109,191 |
$179,758 |
$193,323 |
Alger
Emerging Markets Fund |
$6,681 |
$10,662 |
$10,042 |
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
|
|
|
|
|
|
|
Gregory
Adams* |
3 |
$406,306,371 |
2 |
$94,783,051 |
6 |
$15,122,233 |
Joshua
D. Bennettx† |
2 |
$517,345,927 |
5 |
$189,164,087 |
17 |
$900,132,728 |
Daniel
J. Brazeau† |
|
|
2 |
$93,971,357 |
|
|
Dan
C. Chung*# |
13 |
$5,087,677,073 |
7 |
$1,127,214,888 |
34 |
$1,824,922,580 |
Ankur
Crawford# |
5 |
$4,986,573,199 |
10 |
$1,335,501,400 |
39 |
$1,968,682,931 |
H.
George Daix† |
2 |
$517,345,927 |
5 |
$189,164,087 |
17 |
$900,132,728 |
Patrick
Kelly# |
5 |
$4,986,573,199 |
10 |
$1,335,501,400 |
39 |
$1,968,682,931 |
Michael
Mufson± |
3 |
$203,617,077 |
3 |
$49,145,853 |
143 |
$1,555,640,508 |
George
Ortega*± |
2 |
$46,665,937 |
3 |
$111,225,213 |
1 |
$94,991 |
Ezra
Samet± |
3 |
$203,617,077 |
3 |
$49,145,853 |
143 |
$1,555,640,508 |
Donald
Smith± |
1 |
$164,905,930 |
2 |
$35,349,468 |
34 |
$1,284,325,004 |
Portfolio
Manager |
Fund |
Range |
Gregory
Adams |
Dynamic
Fund
Responsible
Fund |
E*
F |
Joshua
D. Bennett |
Dynamic
Fund |
E* |
Daniel
J. Brazeau |
Dynamic
Fund |
E* |
Dan
C. Chung |
Dynamic
Fund
Spectra
Fund |
G
F |
Ankur
Crawford |
Spectra
Fund |
E |
H.
George Dai |
Dynamic
Fund |
E* |
Patrick
Kelly |
Spectra
Fund |
E |
Michael
Mufson |
Emerging
Markets |
A** |
George
Ortega |
Dynamic
Fund |
E* |
Ezra
Samet |
Emerging
Markets |
A** |
Donald
Smith |
Emerging
Markets |
A** |
Fund |
2023 |
2022 |
2021 |
Alger
Spectra Fund |
$373,536 |
$661,294 |
$975,079 |
Alger
Responsible Investing Fund |
$9,829 |
$11,099 |
$12,069 |
Alger
Dynamic Opportunities Fund |
$43,934 |
$71,068 |
$76,726 |
Alger
Emerging Markets Fund |
$2,745 |
$4,342 |
$4,206 |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
Morgan
Stanley
For
the Exclusive Benefit of its Customers
1
New York Plaza, 12th Floor
New
York, NY 10004 |
A |
11.33% |
Charles
Schwab & Co., Inc.
Attn:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
A |
10.32% |
Wells
Fargo Bank
Special
Custody Account
2801
Market St
Saint
Louis, MO 63103 |
A |
9.45% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
For
the Sole Benefit of Its Customers
Attn:
Fund Administration
4800
Deer Lake Drive E, 2nd Floor
Jacksonville,
FL 32246 |
A |
8.12% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
A |
5.54% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
A |
5.20% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
C |
19.01% |
Wells
Fargo Bank
Special
Custody Account
2801
Market St
Saint
Louis, MO 63103 |
C |
14.34% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
C |
12.76% |
Morgan
Stanley
For
the Exclusive Benefit of its Customers
1
New York Plaza, 12th Floor
New
York, NY 10004 |
C |
9.42% |
RBC
Capital Markets LLC
Mutual
Fund Omnibus Processing
ATTN:
Mutual Fund Ops Manager
250
Nicollet Mall Suite 1400
Minneapolis,
MN 55401 |
C |
8.38% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
C |
7.33% |
UBS
WM USA
1000
Harbor Boulevard
Weehawken,
NJ 07086 |
C |
7.23% |
Charles
Schwab & Co., Inc.
Special
Custody Account FBO Customers
ATTN:
Mutual Funds
211
Main St
San
Francisco, CA 94105 |
C |
5.04% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
I |
14.58% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
I |
13.44% |
Charles
Schwab & Co., Inc.
ATTN:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
I |
13.28% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
Empower
Trust
FBO
Employee Benefits Clients 401K
8515
E Orchard Road, 2T2
Greenwood
Village, CO 80111 |
I |
11.93% |
Saxon
and Co.
PO
Box 94597
Cleveland,
OH 44101 |
I |
5.74% |
JP
Morgan Securities LLC
Omnibus
Account
3rd
Floor, Mutual Fund Department
4
Chase Metrotech Center
Brooklyn,
NY 11245 |
Y |
45.55% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
For
the Sole Benefit of Its Customers
ATTN:
Fund Administration
4800
Deer Lake Drive E, 2nd Floor
Jacksonville,
FL 32246 |
Y |
14.73% |
Lincoln
Retirement Services Company
PO
Box 7876
Fort
Wayne, IN 46801 |
Y |
13.81% |
National
Financial Services LLC
For
Exclusive Benefit of Our Customers
ATTN:
Mutual Funds Department, 4th Floor
499
Washington Boulevard
Jersey
City, NJ 07310 |
Y |
12.45% |
UBS
WM USA
1000
Harbor Boulevard
Weehawken,
NJ 07086 |
Z |
12.51% |
Wells
Fargo Bank
Special
Custody Account
2801
Market St
Saint
Louis, MO 63103 |
Z |
10.67% |
National
Financial Services LLC
For
Exclusive Benefit of Our Customers
ATTN:
Mutual Funds Department, 4th Floor
499
Washington Boulevard
Jersey
City, NJ 07310 |
Z |
10.61% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
For
the Sole Benefit of Its Customers
ATTN:
Fund Administration
4800
Deer Lake Drive E, 2nd Floor
Jacksonville,
FL 32246 |
Z |
9.25% |
Morgan
Stanley
For
the Exclusive Benefit of its Customers
1
New York Plaza, 12th Floor
New
York, NY 10004 |
Z |
8.83% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Z |
7.64% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
Z |
6.85% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
RBC
Capital Markets LLC
Mutual
Fund Omnibus Processing
ATTN:
Mutual Fund Ops Manager
250
Nicollet Mall Suite 1400
Minneapolis,
MN 55401 |
Z |
6.06% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
Z |
5.46% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
Voya
Retirement Insurance and Annuity Company
One
Orange Way
Windsor,
CT 06095 |
A |
32.28% |
Morgan
Stanley
For
the Exclusive Benefit of its Customers
1
New York Plaza, 12th Floor
New
York, NY 10004 |
A |
7.63% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
A |
7.58% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
A |
7.39% |
Charles
Schwab & Co., Inc.
ATTN:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
A |
7.32% |
Edward
D. Jones and Co.
For
the Benefit of Customers
12555
Manchester Road
Saint
Louis, MO 63131 |
A |
5.42% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
C |
24.15% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
C |
13.94% |
Charles
Schwab & Co., Inc.
Special
Custody Account FBO Customers
ATTN:
Mutual Funds
211
Main St
San
Francisco, CA 94105 |
C |
12.38% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
C |
9.91% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
National
Financial Services LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
C |
6.77% |
Wells
Fargo Bank
Special
Custody Account
2801
Market St
Saint
Louis, MO 63103 |
C |
6.12% |
American
Enterprise Investment Services
707
2nd Avenue S
Minneapolis,
MN 55402 |
C |
5.64% |
Morgan
Stanley
For
the Exclusive Benefit of its Customers
1
New York Plaza, 12th Floor
New
York, NY 10004 |
C |
5.43% |
UBS
WM USA
1000
Harbor Boulevard
Weehawken,
NJ 07086 |
C |
5.24% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
I |
55.47% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
I |
20.64% |
Charles
Schwab & Co., Inc.
Attn:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
I |
9.07% |
LPL
Financial
FBO
Customer Accounts
9785
Towne Centre Drive
San
Diego, CA 92121 |
Z |
16.80% |
Lincoln
Investment Planning LLC
601
Office Center Drive, Suite 300
Fort
Washington, PA 19034 |
Z |
14.87% |
American
Enterprise Investment Services
707
2nd Avenue S
Minneapolis,
MN 55402 |
Z |
11.76% |
JP
Morgan Securities LLC
Omnibus
Account
3rd
Floor, Mutual Fund Department
4
Chase Metrotech Center
Brooklyn,
NY 11245 |
Z |
11.69% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Z |
10.52% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
National
Financial Services LLC
For
Exclusive Benefit of Our Customers
ATTN:
Mutual Funds Department, 4th Floor
499
Washington Boulevard
Jersey
City, NJ 07310 |
Z |
6.64% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
Charles
Schwab & Co., Inc.
Special
Custody Account FBO Customers
ATTN:
Mutual Funds
211
Main St
San
Francisco, CA 94105 |
A |
20.99% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
A |
13.57% |
Charles
Schwab & Co., Inc.
ATTN:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
A |
13.00% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
A |
9.81% |
American
Enterprise Investment Services
707
2nd Avenue S
Minneapolis,
MN 55402 |
A |
9.35% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
A |
6.83% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
C |
37.52% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
C |
26.17% |
American
Enterprise Investment Services
707
2nd Avenue S
Minneapolis,
MN 55402 |
C |
8.51% |
Charles
Schwab & Co., Inc.
Special
Custody Account FBO Customers
ATTN:
Mutual Funds
211
Main St
San
Francisco, CA 94105 |
C |
7.09% |
UBS
WM USA
1000
Harbor Boulevard
Weehawken,
NJ 07086 |
C |
5.26% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
C |
5.14% |
JP
Morgan Securities LLC
Omnibus
Account
3rd
Floor, Mutual Fund Department
4
Chase Metrotech Center
Brooklyn,
NY 11245 |
Z |
19.45% |
American
Enterprise Investment Services
707
2nd Avenue S
Minneapolis,
MN 55402 |
Z |
14.95% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
Z |
13.71% |
National
Financial Services LLC
For
Exclusive Benefit of Our Customers
ATTN:
Mutual Funds Department, 4th Floor
499
Washington Boulevard
Jersey
City, NJ 07310 |
Z |
11.66% |
UBS
WM USA
1000
Harbor Boulevard
Weehawken,
NJ 07086 |
Z |
9.40% |
Charles
Schwab & Co., Inc.
ATTN:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
Z |
6.88% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Z |
5.54% |
Charles
Schwab & Co., Inc.
Special
Custody Account FBO Customers
ATTN:
Mutual Funds
211
Main St
San
Francisco, CA 94105 |
Z |
5.12% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
Charles
Schwab & Co., Inc.
Special
Custody Account FBO Customers
ATTN:
Mutual Funds
211
Main St
San
Francisco, CA 94105 |
A |
20.42% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
A |
19.07% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
A |
11.95% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
Charles
Schwab & Co., Inc.
ATTN:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
A |
6.64% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
A |
6.15% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
C |
39.80% |
UBS
WM USA
1000
Harbor Boulevard
Weehawken,
NJ 07086 |
C |
37.82% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
C |
8.59% |
Pershing
LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
I |
23.63% |
Charles
Schwab & Co., Inc.
ATTN:
Mutual Fund Ops
211
Main St
San
Francisco, CA 94105 |
I |
21.63% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
I |
19.68% |
Brown
Brothers Harriman and Company
As
Custodian
140
Broadway
New
York, NY 10005 |
I |
16.23% |
LPL
Financial
Omnibus
Customer Account
ATTN:
Mutual Fund Trading
9785
Towne Centre Drive
San
Diego, CA 92121 |
Z |
16.43% |
National
Financial Services LLC
For
Exclusive Benefit of Our Customers
ATTN:
Mutual Funds Department, 4th Floor
499
Washington Boulevard
Jersey
City, NJ 07310 |
Z |
15.67% |
Raymond
James and Associates Inc.
Omnibus
for Mutual Funds
880
Carillon Parkway
St.
Petersburg, FL 33716 |
Z |
12.30% |
Pershing
LLC
PO
Box 2052
Jersey
City, NJ 07399 |
Z |
11.52% |
Name
and Address |
Fund
Classes |
Percentage
of
Total
Shares Held |
UBS
WM USA
1000
Harbor Boulevard
Weehawken,
NJ 07086 |
Z |
9.93% |
Charles
Schwab & Co., Inc.
Special
Custody Account FBO Customers
ATTN:
Mutual Funds
211
Main St
San
Francisco, CA 94105 |
Z |
9.87% |
RBC
Capital Markets LLC
Mutual
Fund Omnibus Processing
ATTN:
Mutual Fund Ops Manager
250
Nicollet Mall Suite 1400
Minneapolis,
MN 55401 |
Z |
6.02% |