|
Class
A
Shares
Ticker |
Class
C
Shares
Ticker |
Class
D
Shares
Ticker |
Class
I
Shares
Ticker |
Class
N
Shares
Ticker |
Class
R
Shares
Ticker |
Class
S
Shares
Ticker |
Class
T
Shares
Ticker |
Fixed
Income |
||||||||
Janus
Henderson Absolute Return Income Opportunities
Fund |
JUCAX |
JUCCX |
JUCDX |
JUCIX |
JUCNX |
JUCRX |
JUCSX |
JUCTX |
Janus
Henderson Developed World Bond Fund |
HFAAX |
HFACX |
HFADX |
HFAIX |
HFARX |
N/A |
HFASX |
HFATX |
Janus
Henderson Flexible Bond Fund |
JDFAX |
JFICX |
JANFX |
JFLEX |
JDFNX |
JDFRX |
JADFX |
JAFIX |
Janus
Henderson Global Bond Fund |
JGBAX |
JGBCX |
JGBDX |
JGBIX |
JGLNX |
N/A |
JGBSX |
JHBTX |
Janus
Henderson High-Yield Fund |
JHYAX |
JDHCX |
JNHYX |
JHYFX |
JHYNX |
JHYRX |
JDHYX |
JAHYX |
Janus
Henderson Multi-Sector Income Fund |
JMUAX |
JMUCX |
JMUDX |
JMUIX |
JMTNX |
N/A |
JMUSX |
JMUTX |
Janus
Henderson Short Duration Flexible Bond Fund |
JSHAX |
JSHCX |
JNSTX |
JSHIX |
JSHNX |
N/A |
JSHSX |
JASBX |
Multi-Asset |
||||||||
Janus
Henderson Adaptive Global Allocation Fund |
JAGAX |
JAVCX |
JAGDX |
JVGIX |
JAGNX |
N/A |
JAGSX |
JVGTX |
Equity |
||||||||
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
JRSAX |
JRSCX |
JRSDX |
JRSIX |
JRSNX |
N/A |
JRSSX |
JRSTX |
(formerly
named Janus Henderson U.S. Managed
Volatility
Fund) |
||||||||
Janus
Henderson Mid Cap Value Fund |
JDPAX |
JMVCX |
JNMCX |
JMVAX |
JDPNX |
JDPRX |
JMVIX |
JMCVX |
Janus
Henderson Responsible International Dividend
Fund |
HDAVX |
HDCVX |
HDDVX |
HDIVX |
HDRVX |
N/A |
HDQVX |
HDTVX |
(formerly
named Janus Henderson Dividend & Income
Builder
Fund) |
|
|
|
|
|
|
|
|
Janus
Henderson Small Cap Value Fund‡ |
JDSAX |
JCSCX |
JNPSX |
JSCOX |
JDSNX |
JDSRX |
JISCX |
JSCVX |
Janus
Henderson Small-Mid Cap Value Fund |
JVSAX |
JVSCX |
JSVDX |
JVSIX |
JVSNX |
N/A |
JSVSX |
JSVTX |
Janus
Investment Fund |
Classification |
Adviser |
Investment
Policies and Restrictions Applicable to all
Funds |
Investment
Strategies and Risks |
Portfolio
Turnover |
Fund
Name |
Portfolio
Turnover Rate for
the
fiscal year ended
June
30, 2022 |
Portfolio
Turnover Rate for
the
fiscal year ended
June
30, 2021 |
Fixed
Income |
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
69% |
47% |
Janus
Henderson Developed World Bond Fund |
86% |
37% |
Janus
Henderson Flexible Bond Fund |
158% |
132% |
Janus
Henderson Global Bond Fund |
41% |
63% |
Janus
Henderson High-Yield Fund |
81% |
120% |
Janus
Henderson Multi-Sector Income Fund |
75% |
119% |
Janus
Henderson Short Duration Flexible Bond Fund |
94% |
112% |
Multi-Asset |
|
|
Janus
Henderson Adaptive Global Allocation Fund |
297% |
414% |
Equity |
|
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
152% |
190% |
Janus
Henderson Mid Cap Value Fund |
52% |
46% |
Janus
Henderson Responsible International Dividend Fund |
34% |
52% |
Janus
Henderson Small Cap Value Fund |
44% |
53% |
Janus
Henderson Small-Mid Cap Value Fund |
80% |
99% |
Portfolio
Holdings Disclosure Policies and
Procedures |
Name |
Frequency |
Lag
Time |
Acuity
Knowledge Partners (UK) Limited |
As
needed |
1
day or more |
Adviser
Compliance Associates, LLC |
As
needed |
Current |
Alpha
Financial Markets Consulting |
Monthly |
Current |
Barclays
Risk Analytics and Index Solutions Limited |
Daily |
Current |
Barra,
Inc. |
Daily |
Current |
Bloomberg
Finance L.P. |
Daily |
Current |
Boston
Financial Data Services, Inc. |
As
needed |
Current |
BNP
Paribas Fund Services LLC |
Daily |
Current |
BNP
Paribas New York Branch |
Daily |
Current |
BNP
Paribas Prime Brokerage, Inc. |
Daily |
Current
|
Name |
Frequency |
Lag
Time |
BNP
Paribas Securities Services |
Daily |
Current |
BNP
Securities Corp. |
Daily |
Current |
Brown
Brothers Harriman & Co. |
Daily |
Current |
Callan
Associates Inc. |
As
needed |
Current |
Charles
River Brokerage, LLC |
As
needed |
Current |
Charles
River Systems, Inc. |
As
needed |
Current |
Charles
Schwab & Co., Inc. |
As
needed |
Current |
Command
Financial Press Corporation |
As
needed |
2
days |
Deloitte
& Touche LLP |
As
needed |
Current |
Deloitte
Tax LLP |
As
needed |
Current |
DTCC
Loan/SERV LLC |
Daily |
Current |
Eagle
Investment Systems LLC |
As
needed |
Current |
Envestnet
Asset Management Inc. |
As
needed |
Current |
Ernst
& Young Global Limited |
Semiannually |
1-2
days |
Ernst
& Young LLP |
As
needed |
Current |
FactSet
Research Systems, Inc. |
As
needed |
Current |
Fintech
SISU LLC |
Daily |
Current |
FIS
Financial Systems LLC – Wall Street Concepts (WSC) |
As
needed |
Current |
FlexTrade
LLC |
Daily |
Current |
Frank
Russell Company |
As
needed |
Current |
HedgeFacts |
Weekly |
7
days |
HeterMedia
Services Limited |
Monthly |
Current |
IHS
Markit |
Daily |
Current |
Infotech
Consulting Inc. |
Daily |
Current |
Institutional
Shareholder Services, Inc. |
Daily |
Current |
Interactive
Data (Europe) Limited |
Quarterly |
10
days |
Interactive
Data Pricing and Reference Data LLC |
Daily |
Current |
International
Data Corporation |
Daily |
Current |
Investment
Technology Group, Inc. |
Daily |
Current |
JPMorgan
Chase Bank, National Association |
Daily |
Current |
KPMG
LLP |
As
needed |
Current |
LendAmend
LLC |
As
needed |
Current |
Markit
EDM Limited |
Daily |
Current |
Markit
Group Limited |
Daily |
Current |
Merrill
Communications LLC |
Quarterly |
Current |
Moody’s
Investors Service Inc. |
Weekly |
7
days or more |
Morningstar,
Inc. |
As
needed |
30
days |
Nasdaq
Inc. |
Daily |
Current |
PricewaterhouseCoopers
LLP |
As
needed |
Current |
Prima
Capital Holding, Inc. |
As
needed |
Current |
Prima
Capital Management, Inc. |
Quarterly |
15
days |
RR
Donnelley and Sons Company |
Daily |
Current |
Russell/Mellon
Analytical Services, LLC |
Monthly |
Current |
SimCorp
USA, Inc. |
As
needed |
Current |
SS&C
Technologies, Inc. |
As
needed |
Current |
Standard
& Poor’s |
Daily |
Current |
Standard
& Poor’s Financial Services |
Weekly |
2
days or more |
Standard
& Poor’s Securities Evaluation |
Daily |
Current |
The
Ohio National Life Insurance Company |
As
needed |
Current
|
Name |
Frequency |
Lag
Time |
Thomson
Reuters (Markets) LLC |
Daily |
Current |
Tower
Investment |
As
needed |
30
days |
TradingScreen
Inc. |
As
needed |
Current |
TriOptima
AB |
Daily |
Current |
Wachovia
Securities LLC |
As
needed |
Current |
Wilshire
Associates Incorporated |
As
needed |
Current |
Wolters
Kluwer Financial Services, Inc. |
Monthly |
30
days |
Zephyr
Associates, Inc. |
Quarterly |
Current |
Investment
Adviser – Janus Henderson Investors US
LLC |
Fund
Name |
Average
Daily Net
Assets
of the Fund |
Contractual
Investment
Advisory
Fees/Base
Fees (%)
(annual
rate) |
Fixed
Income |
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
First $1
Billion
Next $2
Billion
Over $3
Billion |
0.65
0.62
0.60 |
Janus
Henderson Developed World Bond Fund |
First $1
Billion
Next $500
Million
Over $1.5
Billion |
0.55
0.50
0.45 |
Janus
Henderson Flexible Bond Fund |
First $300
Million
Over $300
Million |
0.50
0.40 |
Janus
Henderson Global Bond Fund |
First $1
Billion
Next $1
Billion
Over $2
Billion |
0.60
0.55
0.50 |
Janus
Henderson High-Yield Fund |
First $300
Million
Over $300
Million |
0.65
0.55 |
Janus
Henderson Multi-Sector Income Fund |
First $200
Million
Next $500
Million
Over $700
Million |
0.60
0.57
0.55 |
Janus
Henderson Short Duration Flexible Bond Fund |
All Asset
Levels |
0.44 |
Multi-Asset |
|
|
Janus
Henderson Adaptive Global Allocation Fund |
First $2
Billion
Next $2
Billion
Over $4
Billion |
0.75
0.72
0.70 |
Equity |
|
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
All Asset
Levels |
0.50 |
Janus
Henderson Mid Cap Value Fund |
N/A |
0.64 |
Janus
Henderson Responsible International Dividend Fund |
First $1
Billion
Next $1
Billion
Over $2
Billion |
0.75
0.65
0.55 |
Janus
Henderson Small Cap Value Fund |
N/A |
0.72 |
Janus
Henderson Small-Mid Cap Value Fund |
N/A |
0.70 |
Performance-Based
Investment Advisory Fee |
Fund
Name |
Effective
Date of
Performance
Fee
Arrangement |
Effective
Date of
First
Adjustment
to
Advisory Fee |
Janus
Henderson Mid Cap Value Fund |
02/01/06 |
02/01/07 |
Janus
Henderson Small Cap Value Fund |
01/01/09 |
01/01/10 |
Janus
Henderson Small-Mid Cap Value Fund |
01/01/12 |
01/01/13 |
Fund
Name |
Benchmark
Index |
Base
Fee Rate (%)
(annual
rate) |
Janus
Henderson Mid Cap Value Fund |
Russell
Midcap®
Value Index(1)
|
0.64 |
Janus
Henderson Small Cap Value Fund |
Russell
2000®
Value Index(2)
|
0.72 |
Janus
Henderson Small-Mid Cap Value Fund |
Russell
2500tm
Value Index(3)
|
0.70 |
Fund
Name |
Net
Assets |
Janus
Henderson Mid Cap Value Fund |
$2,056,422,454 |
Janus
Henderson Small Cap Value Fund |
$2,705,089,917 |
Janus
Henderson Small-Mid Cap Value Fund |
$117,131,504 |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.64% |
1/12th
of 0.15% |
1/12th
of 0.79% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.64% |
0.00 |
1/12th
of 0.64% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.64% |
1/12th
of -0.15% |
1/12th
of 0.49% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.72% |
1/12th
of 0.15% |
1/12th
of 0.87% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.72% |
0.00 |
1/12th
of 0.72% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.72% |
1/12th
of -0.15% |
1/12th
of 0.57% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.70% |
1/12th
of 0.15% |
1/12th
of 0.85% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.70% |
0.00 |
1/12th
of 0.70% |
Base
Fee Rate |
Performance
Adjustment Rate |
Total
Advisory Fee Rate
for
that Month |
1/12th
of 0.70% |
1/12th
of -0.15% |
1/12th
of 0.55% |
Expense
Limitations |
Fund
Name |
Expense
Limit
Percentage
(%) |
Fixed
Income |
|
Janus
Henderson Absolute Return Income Opportunities Fund |
0.63 |
Janus
Henderson Developed World Bond Fund |
0.57 |
Janus
Henderson Flexible Bond Fund |
0.45 |
Janus
Henderson Global Bond Fund |
0.59 |
Janus
Henderson High-Yield Fund |
0.63 |
Janus
Henderson Multi-Sector Income Fund |
0.64 |
Janus
Henderson Short Duration Flexible Bond Fund |
0.39 |
Multi-Asset |
|
Janus
Henderson Adaptive Global Allocation Fund |
0.66 |
Equity |
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
0.65 |
Janus
Henderson Mid Cap Value Fund |
0.83(1) |
Janus
Henderson Responsible International Dividend Fund |
0.84 |
Janus
Henderson Small Cap Value Fund |
0.91(1) |
Janus
Henderson Small-Mid Cap Value Fund |
0.82(1) |
|
2022 |
2021 |
2020 | |||
Fund
Name |
Advisory
Fees |
Waivers(–) |
Advisory
Fees |
Waivers(–) |
Advisory
Fees |
Waivers(–) |
Fixed
Income |
|
|
|
|
|
|
Janus
Henderson Absolute Return Income
Opportunities
Fund |
$484,030 |
– $303,613 |
$645,889 |
– $317,520 |
$743,755 |
– $334,039 |
Janus
Henderson Developed World Bond
Fund |
$13,222,461 |
– $1,567,269 |
$10,708,838 |
– $3,701 |
$7,721,881 |
– $142,378 |
Janus
Henderson Flexible Bond Fund |
$14,893,944 |
– $813,725 |
$15,975,756 |
$— |
$16,048,278 |
– $2,090 |
Janus
Henderson Global Bond Fund |
$1,428,293 |
– $318,888 |
$1,487,405 |
– $385,385 |
$1,237,796 |
– $317,772 |
Janus
Henderson High-Yield Fund |
$6,584,803 |
– $14,992 |
$6,597,719 |
– $11,782 |
$6,948,081 |
– $3,641 |
Janus
Henderson Multi-Sector Income Fund |
$18,627,845 |
– $2,588 |
$14,912,493 |
– $2,606 |
$11,113,013 |
– $2,751 |
Janus
Henderson Short Duration Flexible
Bond
Fund |
$5,123,243 |
– $1,130,683 |
$5,128,139 |
– $526,609 |
$5,126,385 |
– $569,727 |
Multi-Asset |
|
|
|
|
|
|
Janus
Henderson Adaptive Global Allocation
Fund |
$413,101 |
– $323,885 |
$404,071 |
– $338,801 |
$445,808 |
– $315,157 |
Equity |
|
|
|
|
|
|
Janus
Henderson Adaptive Risk Managed
U.S.
Equity Fund |
$5,139,362 |
– $17,800 |
$5,602,769 |
$— |
$6,686,096 |
$— |
Janus
Henderson Mid Cap Value Fund |
$12,666,677 |
$— |
$13,146,189 |
$— |
$21,523,798 |
$— |
Janus
Henderson Responsible International
Dividend
Fund |
$1,182,640 |
– $157,064 |
$1,220,042 |
– $146,226 |
$1,242,243 |
– $167,989 |
Janus
Henderson Small Cap Value Fund |
$20,442,224 |
$— |
$23,425,022 |
$— |
$27,258,560 |
$— |
Janus
Henderson Small-Mid Cap Value Fund |
$852,287 |
– $108,391 |
$587,402 |
– $159,090 |
$474,454 |
– $178,104 |
Payments
to Financial Intermediaries By the Adviser or Its
Affiliates |
Additional
Information About the Adviser |
Proxy
Voting Policy and Procedures |
JANUS
HENDERSON INVESTORS US LLC
PROXY
VOTING SUMMARY |
Average
Daily Net Assets of Class D Shares of the Janus Henderson
funds |
Administrative
Services Fee |
Under
$40 billion |
0.12% |
$40
billion - $49.9 billion |
0.10% |
Over
$49.9 billion |
0.08% |
|
2022 |
2021 |
2020 |
Fund
Name |
Administrative
Services
Fees |
Administrative
Services
Fees |
Administrative
Services
Fees |
Fixed
Income |
|
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
|
|
|
Class
D Shares |
$17,585 |
$21,379 |
$15,818 |
Class
R Shares |
$1,287 |
$1,431 |
$2,153 |
Class
S Shares |
$471 |
$455 |
$373 |
Class
T Shares |
$22,402 |
$31,467 |
$47,535 |
Janus
Henderson Developed World Bond Fund |
|
|
|
Class
D Shares |
$40,569 |
$48,620 |
$25,746 |
Class
S Shares |
$1,535 |
$1,250 |
$502 |
Class
T Shares |
$266,078 |
$328,400 |
$266,797 |
Janus
Henderson Flexible Bond Fund |
|
|
|
Class
D Shares |
$655,265 |
$760,786 |
$684,984 |
Class
R Shares |
$61,574 |
$65,113 |
$64,407 |
Class
S Shares |
$43,253 |
$48,781 |
$58,015 |
Class
T Shares |
$1,191,692 |
$1,474,611 |
$1,513,748 |
Janus
Henderson Global Bond Fund |
|
|
|
Class
D Shares |
$18,447 |
$25,217 |
$15,626 |
Class
S Shares |
$147 |
$101 |
$221 |
Class
T Shares |
$15,364 |
$84,696 |
$16,376 |
Janus
Henderson High-Yield Fund |
|
|
|
Class
D Shares |
$375,081 |
$378,132 |
$400,562 |
Class
R Shares |
$18,584 |
$9,706 |
$3,844 |
Class
S Shares |
$4,861 |
$5,145 |
$4,227 |
Class
T Shares |
$877,466 |
$909,850 |
$1,027,334 |
Janus
Henderson Multi-Sector Income Fund |
|
|
|
Class
D Shares |
$117,942 |
$105,422 |
$94,497 |
Class
S Shares |
$2,232 |
$2,249 |
$1,940 |
Class
T Shares |
$506,496 |
$729,342 |
$627,837 |
Janus
Henderson Short Duration Flexible Bond Fund |
|
|
|
Class
D Shares |
$219,122 |
$237,490 |
$216,657 |
Class
S Shares |
$1,586 |
$1,682 |
$2,712 |
Class
T Shares |
$883,767 |
$1,060,362 |
$1,183,047 |
Multi-Asset |
|
|
|
Janus
Henderson Adaptive Global Allocation Fund |
|
|
|
Class
D Shares |
$3,595 |
$3,536 |
$3,379 |
Class
S Shares |
$3,487 |
$3,620 |
$3,211 |
Class
T Shares |
$3,672 |
$3,408 |
$3,152
|
|
2022 |
2021 |
2020 |
Fund
Name |
Administrative
Services
Fees |
Administrative
Services
Fees |
Administrative
Services
Fees |
Equity |
|
|
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
|
|
|
Class
D Shares |
$401,556 |
$390,584 |
$389,384 |
Class
S Shares |
$68,592 |
$70,418 |
$70,090 |
Class
T Shares |
$422,769 |
$527,929 |
$576,145 |
Janus
Henderson Mid Cap Value Fund |
|
|
|
Class
D Shares |
$830,529 |
$777,689 |
$850,270 |
Class
R Shares |
$105,746 |
$102,958 |
$121,121 |
Class
S Shares |
$216,283 |
$228,698 |
$269,756 |
Class
T Shares |
$2,368,564 |
$2,428,169 |
$2,723,934 |
Janus
Henderson Responsible International Dividend Fund |
|
|
|
Class
D Shares |
$15,741 |
$9,860 |
$8,366 |
Class
S Shares |
$161 |
$147 |
$132 |
Class
T Shares |
$60,637 |
$66,452 |
$48,694 |
Janus
Henderson Small Cap Value Fund |
|
|
|
Class
D Shares |
$114,296 |
$108,148 |
$125,726 |
Class
R Shares |
$124,342 |
$105,421 |
$91,526 |
Class
S Shares |
$90,412 |
$114,946 |
$140,873 |
Class
T Shares |
$1,278,092 |
$1,389,127 |
$1,554,519 |
Janus
Henderson Small-Mid Cap Value Fund |
|
|
|
Class
D Shares |
$55,710 |
$39,538 |
$27,176 |
Class
S Shares |
$2,775 |
$2,710 |
$2,226 |
Class
T Shares |
$22,366 |
$27,531 |
$43,505 |
|
|
Fees
and/or compensation for securities lending activities and related
services: |
|
| |||||
|
Gross
income
from
securities
lending
activities |
Fees
paid to
securities
lending
agent
from
revenue
split |
Fees
paid for any cash
collateral
management
services
(including fees
deducted
from a pooled
cash
collateral
reinvestment
vehicle)
that
are not included in
the
revenue split |
Administrative
fees
not included
in
the revenue
split |
Indemnification
fees
not included
in
the revenue
split |
Rebate
(paid
to borrower) |
Other
fees not
included
in
revenue
split |
Aggregate
fees
and/or
compensation for
securities
lending
activities |
Net
income from
securities
lending
activities |
Janus
Henderson Developed World
Bond
Fund |
$18,736 |
$
(926) |
$
(1,356) |
$
- |
$
- |
$
(5,801) |
$
- |
$
(8,084) |
$10,653 |
Janus
Henderson Flexible Bond Fund |
$82,289 |
$
(6,061) |
$
(3,380) |
$
- |
$
- |
$
(3,142) |
$
- |
$
(12,583) |
$69,706 |
Janus
Henderson Global Bond Fund |
$1,228 |
$
(64) |
$
(122) |
$
- |
$
- |
$
(312) |
$
- |
$
(497) |
$731 |
Janus
Henderson High-Yield Fund |
$357,839 |
$
(26,049) |
$
(10,679) |
$
- |
$
- |
$
(21,544) |
$
- |
$
(58,272) |
$299,568 |
Janus
Henderson Multi-Sector Income
Fund |
$116,656 |
$
(8,257) |
$
(4,019) |
$
- |
$
- |
$
(9,422) |
$
- |
$
(21,697) |
$94,959 |
Janus
Henderson Short Duration
Flexible
Bond Fund |
$14,284 |
$
(846) |
$
(1,160) |
$
- |
$
- |
$
(2,551) |
$
- |
$
(4,557) |
$9,727 |
Janus
Henderson Adaptive Global
Allocation
Fund |
$38,753 |
$
(2,862) |
$
(2,329) |
$
- |
$
- |
$
(642) |
$
- |
$
(5,832) |
$32,921 |
Janus
Henderson Adaptive Risk
Managed
U.S. Equity Fund |
$22,965 |
$
(1,577) |
$
(779) |
$
- |
$
- |
$
(2,471) |
$
- |
$
(4,827) |
$18,139 |
Fund
Name |
Commissions |
Transactions |
Equity | ||
Janus
Henderson Mid Cap Value Fund |
$1,113,727 |
$3,290,177,778 |
Janus
Henderson Responsible International Dividend Fund |
$20,289 |
$81,067,030 |
Janus
Henderson Small Cap Value Fund |
$1,645,056 |
$3,864,635,695 |
Janus
Henderson Small-Mid Cap Value Fund |
$56,751 |
$253,382,614 |
Fund
Name |
2022 |
2021 |
2020 |
Fixed
Income |
|
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
$6,496 |
$9,864 |
$17,519 |
Janus
Henderson Developed World Bond Fund |
$80,129 |
$50,279 |
$31,206 |
Janus
Henderson Flexible Bond Fund |
$39,712 |
$1,171 |
$218 |
Janus
Henderson Global Bond Fund |
$15,940 |
$11,077 |
$2,291 |
Janus
Henderson High-Yield Fund |
$47,347 |
$95,199 |
$151,251 |
Janus
Henderson Multi-Sector Income Fund |
$133,567 |
$84,589 |
$98,920 |
Janus
Henderson Short Duration Flexible Bond Fund |
$24,030 |
$10,337 |
$1,960 |
Multi-Asset |
|
|
|
Janus
Henderson Adaptive Global Allocation Fund |
$31,185 |
$29,707 |
$53,847 |
Equity |
|
|
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
$534,838 |
$1,000,696 |
$949,402 |
Janus
Henderson Mid Cap Value Fund |
$1,705,663 |
$1,584,961 |
$1,420,831 |
Janus
Henderson Responsible International Dividend Fund |
$50,757 |
$87,495 |
$97,306 |
Janus
Henderson Small Cap Value Fund |
$2,510,038 |
$1,807,661 |
$3,214,281 |
Janus
Henderson Small-Mid Cap Value Fund |
$109,901 |
$98,456 |
$92,738 |
Fund
Name |
Name
of Broker-Dealer |
Value
of Securities Owned |
Fixed
Income |
|
|
Janus
Henderson Developed World Bond Fund |
Barclays
Capital Inc. |
$11,025,813 |
Deutsche
Bank Securities Inc. |
3,990,080 | |
Goldman
Sachs & Co. LLC |
3,605,451 | |
RBC
Capital Markets, LLC |
1,077,078 | |
Janus
Henderson Flexible Bond Fund |
Barclays
Capital Inc. |
$12,567,601 |
Citigroup
Global Markets Inc. |
8,394,885 | |
Goldman
Sachs & Co. LLC |
4,848,590 | |
JP
Morgan Securities LLC |
55,398,422 | |
Merrill
Lynch, Pierce, Fenner & Smith Inc. |
44,076,848 | |
Morgan
Stanley |
50,378,760 | |
Wells
Fargo Securities, LLC |
2,604,195 | |
Janus
Henderson Global Bond Fund |
BNP
Paribas Securities Corp. |
$777,663 |
Citigroup
Global Markets Inc. |
1,557,505 | |
Credit
Suisse Securities (USA) LLC |
1,390,189 | |
HSBC
Securities (USA) Inc. |
1,016,028 | |
JP
Morgan Securities LLC |
1,625,637 | |
Merrill
Lynch, Pierce, Fenner & Smith Inc. |
441,264 | |
Morgan
Stanley |
1,144,848 | |
Janus
Henderson High-Yield Fund |
Citigroup
Global Markets Inc. |
$8,259,680 |
Credit
Suisse Securities (USA) LLC |
3,045,778 | |
RBC
Capital Markets, LLC |
7,219,869
|
Fund
Name |
Name
of Broker-Dealer |
Value
of Securities Owned |
Janus
Henderson Multi-Sector Income Fund |
Citigroup
Global Markets Inc. |
$33,745,554 |
Credit
Suisse Securities (USA) LLC |
55,169,775 | |
Deutsche
Bank Securities Inc. |
14,586,399 | |
Goldman
Sachs & Co. LLC |
8,173,057 | |
JP
Morgan Securities LLC |
42,244,015 | |
Merrill
Lynch, Pierce, Fenner & Smith Inc. |
25,263,680 | |
Morgan
Stanley |
13,349,283 | |
RBC
Capital Markets, LLC |
3,695,029 | |
UBS
Securities LLC |
7,323,268 | |
Wells
Fargo Securities, LLC |
11,339,842 | |
Janus
Henderson Short Duration Flexible Bond Fund |
Citigroup
Global Markets Inc. |
$5,568,672 |
Credit
Suisse Securities (USA) LLC |
13,719,480 | |
Deutsche
Bank Securities Inc. |
12,695,018 | |
Goldman
Sachs Co. LC |
5,807,488 | |
JP
Morgan Securities LLC |
17,278,565 | |
Merrill
Lynch, Pierce, Fenner & Smith Inc. |
8,830,856 | |
Morgan
Stanley |
13,821,953 | |
UBS
Securities LLC |
5,306,044 | |
Multi-Asset |
|
|
Janus
Henderson Adaptive Global Allocation Fund |
Goldman
Sachs & Co. LLC |
$24,653 |
RBC
Capital Markets, LLC |
230,022 | |
Equity |
|
|
Janus
Henderson Mid Cap Value Fund |
RBC
Capital Markets, LLC |
$35,000,000 |
Janus
Henderson Small Cap Value Fund |
RBC
Capital Markets, LLC |
$45,000,000 |
CLOSED
FUND POLICIES |
Amount
of Purchase at Offering Price |
Sales
Charge as a
Percentage
of
Offering
Price* |
Sales
Charge as a
Percentage
of Net
Amount
Invested |
Amount
of Sales Charge Reallowed
to
Financial Intermediaries as a
Percentage
of Offering Price |
Equity
Funds |
|
|
|
Under
$50,000 |
5.75% |
6.10% |
5.00% |
$50,000
but under $100,000 |
4.50% |
4.71% |
3.75% |
$100,000
but under $250,000 |
3.50% |
3.63% |
2.75% |
$250,000
but under $500,000 |
2.50% |
2.56% |
2.00% |
$500,000
but under $1,000,000 |
2.00% |
2.04% |
1.60% |
$1,000,000
but under $4,000,000** |
0.00% |
0.00% |
1.00% |
$4,000,000
but under $10,000,000** |
0.00% |
0.00% |
0.50% |
$10,000,000
and above** |
0.00% |
0.00% |
0.25% |
Fixed-Income
Funds
(except
Janus Henderson Short Duration Flexible Bond Fund) |
|
|
|
Under
$50,000 |
4.75% |
4.99% |
4.25% |
$50,000
but under $100,000 |
4.50% |
4.71% |
4.00% |
$100,000
but under $250,000 |
3.50% |
3.63% |
3.00% |
$250,000
but under $500,000 |
2.50% |
2.56% |
2.25% |
$500,000
but under $1,000,000 |
2.00% |
2.04% |
1.75% |
$1,000,000
but under $4,000,000** |
0.00% |
0.00% |
1.00% |
$4,000,000
but under $10,000,000** |
0.00% |
0.00% |
0.50% |
$10,000,000
and above** |
0.00% |
0.00% |
0.25%
|
Amount
of Purchase at Offering Price |
Sales
Charge as a
Percentage
of
Offering
Price* |
Sales
Charge as a
Percentage
of Net
Amount
Invested |
Amount
of Sales Charge Reallowed
to
Financial Intermediaries as a
Percentage
of Offering Price |
Janus
Henderson Short Duration Flexible Bond Fund*** |
|
|
|
Under
$50,000 |
2.50% |
2.56% |
2.00% |
$50,000
but under $100,000 |
2.25% |
2.30% |
1.75% |
$100,000
but under $250,000 |
2.00% |
2.04% |
1.50% |
$250,000
but under $500,000 |
1.50% |
1.52% |
1.25% |
$500,000
but under $1,000,000 |
1.00% |
1.01% |
0.75% |
$1,000,000
but under $4,000,000** |
0.00% |
0.00% |
1.00% |
$4,000,000
but under $10,000,000** |
0.00% |
0.00% |
0.50% |
$10,000,000
and above** |
0.00% |
0.00% |
0.25% |
|
Aggregate
Sales Commissions | ||
Fund
Name |
2022 |
2021 |
2020 |
Fixed
Income |
|
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
|
|
|
Class
A Shares |
$4,052 |
$14,786 |
$4,474 |
Janus
Henderson Developed World Bond Fund |
|
|
|
Class
A Shares |
$179,644 |
$405,907 |
$185,556 |
Janus
Henderson Flexible Bond Fund |
|
|
|
Class
A Shares |
$56,502 |
$206,459 |
$173,478 |
Janus
Henderson Global Bond Fund |
|
|
|
Class
A Shares |
$790 |
$3,699 |
$1,079 |
Janus
Henderson High-Yield Fund |
|
|
|
Class
A Shares |
$37,202 |
$71,318 |
$194,036 |
Janus
Henderson Multi-Sector Income Fund |
|
|
|
Class
A Shares |
$270,765 |
$388,081 |
$478,793 |
Janus
Henderson Short Duration Flexible Bond Fund |
|
|
|
Class
A Shares |
$64,424 |
$214,043 |
$221,094 |
Multi-Asset |
|
|
|
Janus
Henderson Adaptive Global Allocation Fund |
|
|
|
Class
A Shares |
$337 |
$2,727 |
$705
|
|
Aggregate
Sales Commissions | ||
Fund
Name |
2022 |
2021 |
2020 |
Equity |
|
|
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
|
|
|
Class
A Shares |
$9,175 |
$15,414 |
$25,834 |
Janus
Henderson Mid Cap Value Fund |
|
|
|
Class
A Shares |
$38,128 |
$40,588 |
$51,451 |
Janus
Henderson Responsible International Dividend Fund |
|
|
|
Class
A Shares |
$52,348 |
$58,589 |
$24,058 |
Janus
Henderson Small Cap Value Fund |
|
|
|
Class
A Shares |
$24,494 |
$16,887 |
$197,250 |
Janus
Henderson Small-Mid Cap Value Fund |
|
|
|
Class
A Shares |
$3,956 |
$3,076 |
$28,157 |
|
Upfront
Sales Charges | ||
Fund
Name |
2022 |
2021 |
2020 |
Fixed
Income |
|
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
|
|
|
Class
A Shares |
$450 |
$924 |
$475 |
Janus
Henderson Developed World Bond Fund |
|
|
|
Class
A Shares |
$12,630 |
$21,481 |
$9,458 |
Janus
Henderson Flexible Bond Fund |
|
|
|
Class
A Shares |
$6,216 |
$13,517 |
$11,321 |
Janus
Henderson Global Bond Fund |
|
|
|
Class
A Shares |
$105 |
$427 |
$84 |
Janus
Henderson High-Yield Fund |
|
|
|
Class
A Shares |
$3,991 |
$6,590 |
$11,419 |
Janus
Henderson Multi-Sector Income Fund |
|
|
|
Class
A Shares |
$18,020 |
$21,069 |
$39,949 |
Janus
Henderson Short Duration Flexible Bond Fund |
|
|
|
Class
A Shares |
$7,058 |
$25,663 |
$21,089 |
Multi-Asset |
|
|
|
Janus
Henderson Adaptive Global Allocation Fund |
|
|
|
Class
A Shares |
$56 |
$567 |
$155 |
Equity |
|
|
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
|
|
|
Class
A Shares |
$1,868 |
$2,901 |
$5,996 |
Janus
Henderson Mid Cap Value Fund |
|
|
|
Class
A Shares |
$4,345 |
$5,900 |
$5,592 |
Janus
Henderson Responsible International Dividend Fund |
|
|
|
Class
A Shares |
$9,545 |
$7,848 |
$4,357 |
Janus
Henderson Small Cap Value Fund |
|
|
|
Class
A Shares |
$2,077 |
$2,414 |
$24,612 |
Janus
Henderson Small-Mid Cap Value Fund |
|
|
|
Class
A Shares |
$718 |
$557 |
$3,006 |
Fund
Name |
Advertising(1)
and
Literature |
Prospectus
Preparation,
Printing(1)
and
Mailing |
Payment
to
Brokers |
Fixed
Income |
|
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
|
|
|
Class
A Shares |
$13 |
$0 |
$29,081 |
Class
C Shares |
$8 |
$0 |
$72,517 |
Class
R Shares |
$1 |
$0 |
$2,484 |
Class
S Shares |
$0 |
$0 |
$471 |
Janus
Henderson Developed World Bond Fund |
|
|
|
Class
A Shares |
$119 |
$0 |
$275,859 |
Class
C Shares |
$37 |
$0 |
$258,976 |
Class
S Shares |
$1 |
$0 |
$1,383 |
Janus
Henderson Flexible Bond Fund |
|
|
|
Class
A Shares |
$144 |
$0 |
$332,001 |
Class
C Shares |
$67 |
$0 |
$567,538 |
Class
R Shares |
$27 |
$0 |
$121,303 |
Class
S Shares |
$19 |
$0 |
$43,220 |
Janus
Henderson Global Bond Fund |
|
|
|
Class
A Shares |
$2 |
$0 |
$3,588 |
Class
C Shares |
$1 |
$0 |
$102,268 |
Class
S Shares |
$0 |
$0 |
$148 |
Janus
Henderson High-Yield Fund |
|
|
|
Class
A Shares |
$35 |
$0 |
$79,942 |
Class
C Shares |
$8 |
$0 |
$59,524 |
Class
R Shares |
$8 |
$0 |
$37,126 |
Class
S Shares |
$2 |
$0 |
$4,852 |
Janus
Henderson Multi-Sector Income Fund |
|
|
|
Class
A Shares |
$69 |
$0 |
$159,635 |
Class
C Shares |
$79 |
$0 |
$543,607 |
Class
S Shares |
$1 |
$0 |
$2,233 |
Janus
Henderson Short Duration Flexible Bond Fund |
|
|
|
Class
A Shares |
$81 |
$0 |
$185,490 |
Class
C Shares |
$22 |
$0 |
$171,553 |
Class
S Shares |
$1 |
$0 |
$1,583 |
Multi-Asset |
|
|
|
Janus
Henderson Adaptive Global Allocation Fund |
|
|
|
Class
A Shares |
$0 |
$0 |
$467 |
Class
C Shares |
$2 |
$0 |
$5,510 |
Class
S Shares |
$2 |
$0 |
$8 |
Equity |
|
|
|
Fund
Name |
Advertising(1)
and
Literature |
Prospectus
Preparation,
Printing(1)
and
Mailing |
Payment
to
Brokers |
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
|
|
|
Class
A Shares |
$28 |
$0 |
$63,319 |
Class
C Shares |
$21 |
$0 |
$159,142 |
Class
S Shares |
$30 |
$0 |
$68,669 |
Janus
Henderson Mid Cap Value Fund |
|
|
|
Class
A Shares |
$74 |
$0 |
$171,734 |
Class
C Shares |
$10 |
$0 |
$82,635 |
Class
R Shares |
$45 |
$0 |
$211,009 |
Class
S Shares |
$93 |
$0 |
$215,828 |
Janus
Henderson Responsible International Dividend Fund |
|
|
|
Class
A Shares |
$37 |
$0 |
$86,659 |
Class
C Shares |
$16 |
$0 |
$140,494 |
Class
S Shares |
$0 |
$0 |
$— |
Janus
Henderson Small Cap Value Fund |
|
|
|
Class
A Shares |
$65 |
$0 |
$153,061 |
Class
C Shares |
$23 |
$0 |
$196,526 |
Class
R Shares |
$53 |
$0 |
$248,253 |
Class
S Shares |
$39 |
$0 |
$90,177 |
Janus
Henderson Small-Mid Cap Value Fund |
|
|
|
Class
A Shares |
$3 |
$0 |
$7,327 |
Class
C Shares |
$1 |
$0 |
$3,945 |
Class
S Shares |
$1 |
$0 |
$2,559 |
|
Contingent
Deferred Sales Charges | ||
Fund
Name |
2022 |
2021 |
2020 |
Fixed
Income |
|
|
|
Janus
Henderson Absolute Return Income Opportunities Fund |
|
|
|
Class
A Shares |
$— |
$— |
$— |
Class
C Shares |
$417 |
$172 |
$167 |
Janus
Henderson Developed World Bond Fund |
|
|
|
Class
A Shares |
$127,278 |
$4,937 |
$— |
Class
C Shares |
$4,651 |
$5,198 |
$5,954 |
Janus
Henderson Flexible Bond Fund |
|
|
|
Class
A Shares |
$— |
$5,148 |
$— |
Class
C Shares |
$7,604 |
$10,522 |
$18,140 |
Janus
Henderson Global Bond Fund |
|
|
|
Class
A Shares |
$— |
$— |
$— |
Class
C Shares |
$— |
$85 |
$71 |
Janus
Henderson High-Yield Fund |
|
|
|
Class
A Shares |
$— |
$— |
$7,773 |
Class
C Shares |
$1,394 |
$1 |
$542 |
Janus
Henderson Multi-Sector Income Fund |
|
|
|
Class
A Shares |
$16,897 |
$998 |
$16,315 |
Class
C Shares |
$12,124 |
$7,683 |
$20,272 |
Janus
Henderson Short Duration Flexible Bond Fund |
|
|
|
Class
A Shares |
$6,442 |
$489 |
$33,575 |
Class
C Shares |
$6,834 |
$6,005 |
$15,450 |
Multi-Asset |
|
|
|
Janus
Henderson Adaptive Global Allocation Fund |
|
|
|
Class
A Shares |
$— |
$— |
$— |
Class
C Shares |
$— |
$— |
$—
|
|
Contingent
Deferred Sales Charges | ||
Fund
Name |
2022 |
2021 |
2020 |
Equity |
|
|
|
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund |
|
|
|
Class
A Shares |
$— |
$— |
$— |
Class
C Shares |
$44 |
$4,795 |
$1,885 |
Janus
Henderson Mid Cap Value Fund |
|
|
|
Class
A Shares |
$— |
$— |
$282 |
Class
C Shares |
$542 |
$1,082 |
$1,357 |
Janus
Henderson Responsible International Dividend Fund |
|
|
|
Class
A Shares |
$439 |
$2,268 |
$— |
Class
C Shares |
$— |
$72 |
$110 |
Janus
Henderson Small Cap Value Fund |
|
|
|
Class
A Shares |
$— |
$4,190 |
$624 |
Class
C Shares |
$207 |
$2,328 |
$2,368 |
Janus
Henderson Small-Mid Cap Value Fund |
|
|
|
Class
A Shares |
$— |
$— |
$— |
Class
C Shares |
$9 |
$— |
$69 |
TRUSTEES | |||||
Name,
Address,
and
Age |
Positions
Held
with
the
Trust |
Length
of
Time
Served |
Principal
Occupations
During
the Past Five Years |
Number
of
Portfolios/Funds
in
Fund Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustee
During
the Past Five Years |
Independent
Trustees |
|
|
|
|
|
Alan
A. Brown
151
Detroit Street
Denver,
CO 80206
DOB:
1962 |
Chairman Trustee |
5/22-Present 1/13-Present |
Principal,
Curam Holdings
LLC
(since 2018). Formerly,
Executive
Vice President,
Institutional
Markets, of Black
Creek
Group (private equity
real
estate investment
management
firm)
(2012-2018),
Executive Vice
President
and Co-Head, Global
Private
Client Group
(2007-2010),
Executive Vice
President,
Mutual Funds
(2005-2007),
and Chief
Marketing
Officer (2001-2005)
of
Nuveen Investments, Inc.
(asset
management). |
50 |
Advisory
Board Member of
AEW
Core Property Trust
(open-end
property fund)
(since
2020), and Director of
WTTW
(PBS affiliate) (since
2003).
Formerly, Director of
MotiveQuest
LLC (strategic
social
market research
company)
(2003-2016),
Director
of Nuveen Global
Investors
LLC (2007-2011),
Director
of Communities in
Schools
(2004-2010), and
Director
of Mutual Fund
Education
Alliance (until
2010). |
Cheryl
D. Alston
151
Detroit Street
Denver,
CO 80206
DOB:
1966 |
Trustee |
8/22-Present |
Executive
Director and Chief
Investment
Officer, Employees’
Retirement
Fund of the City of
Dallas
(since 2004). |
50 |
Director
of Blue Cross Blue
Shield
of Kansas City (a
not-for-profit
health insurance
provider)
(since 2016) and
Director
of Global Life
Insurance
(life and
supplemental
health insurance
provider)
(since 2017).
Formerly,
Director of Federal
Home
Loan Bank of Dallas
(2017-2021).
|
TRUSTEES | |||||
Name,
Address,
and
Age |
Positions
Held
with
the
Trust |
Length
of
Time
Served |
Principal
Occupations
During
the Past Five Years |
Number
of
Portfolios/Funds
in
Fund Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustee
During
the Past Five Years |
Independent
Trustees (cont’d.) |
|
|
|
|
|
William
D. Cvengros
151
Detroit Street
Denver,
CO 80206
DOB:
1948 |
Trustee |
1/11-Present |
Chief
Executive Officer of SJC
Capital,
LLC (a personal
investment
company and
consulting
firm) (since 2002).
Formerly,
Chief Executive
Officer
and President of
PIMCO
Advisors Holdings L.P.
(a
publicly traded investment
management
firm)
(1994-2000),
and Chief
Investment
Officer
(1987-1994)
and Vice
Chairman
and Director
(1990-1994)
of Pacific Life
Insurance
Company (a mutual
life
insurance and annuity
company)
(1987-1994). |
50 |
Member,
Limited Partner
Advisory
Committee, Karmel
Capital
Fund III (later stage
growth
fund) (since 2022),
Member
of the Investment
Committee
for the Orange
County
Community
Foundation
(a grantmaking
foundation)
(since 2020),
Advisory
Board Member,
RevOZ
Fund LP and related
funds
(real estate investments
for
opportunity zones) (since
2020),
and Advisory Board
Member,
Innovate Partners
Emerging
Growth and Equity
Fund
I (early stage venture
capital
fund) (since 2014).
Formerly,
Managing Trustee of
National
Retirement Partners
Liquidating
Trust
(2013-2016),
Chairman,
National
Retirement Partners,
Inc.
(formerly a network of
advisors
to 401(k) plans)
(2005-2013),
Director of
Prospect
Acquisition Corp. (a
special
purpose acquisition
corporation)
(2007-2009),
Director
of RemedyTemp, Inc.
(temporary
help services
company)
(1996-2006), and
Trustee
of PIMCO Funds
Multi-Manager
Series
(1990-2000)
and Pacific Life
Variable
Life & Annuity Trusts
(1987-1994). |
Raudline
Etienne
151
Detroit Street
Denver,
CO 80206
DOB:
1965 |
Trustee |
6/16-Present |
Founder,
Daraja Capital
(advisory
and investment firm)
(since
2016). Formerly, Senior
Vice
President and Senior
Advisor,
Albright Stonebridge
Group
LLC (global strategy
firm)
(2011-2021), and
Deputy
Comptroller and Chief
Investment
Officer, New York
State
Common Retirement
Fund
(public pension fund)
(2008-2011). |
50 |
Member
of the Investment
Committee
for Cooper Union
(private
college) (since 2021),
Board
Member, Van Alen
Institute
(nonprofit
architectural
and design
organization)
(since 2019),
and
Director of Brightwood
Capital
Advisors, LLC (since
2014).
|
TRUSTEES | |||||
Name,
Address,
and
Age |
Positions
Held
with
the
Trust |
Length
of
Time
Served |
Principal
Occupations
During
the Past Five Years |
Number
of
Portfolios/Funds
in
Fund Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustee
During
the Past Five Years |
Independent
Trustees (cont’d.) |
|
|
|
|
|
Darrell
B. Jackson
151
Detroit Street
Denver,
CO 80206
DOB:
1958 |
Trustee |
8/22-Present |
President
and Chief Executive
Officer,
The Efficace
Group
Inc. (since 2018).
Formerly,
President and Chief
Executive
Officer, Seaway Bank
and
Trust Company
(community
bank)
(2014-2015),
and Executive
Vice
President and
Co-President,
Wealth
Management
(2009-2014),
and
several senior positions,
including
Group Executive,
Senior
Vice President, and Vice
President
(1995-2009) of
Northern
Trust Company
(financial
services company)
(1995-2014). |
50 |
Director
of Amalgamated
Financial
Corp (bank) (since
August
2021), Director of YR
Media
(a not-for-profit
production
company) (since
2021),
and Director of
Gray-Bowen-Scott
(transportation
project
consulting
firm) (since April
2020).
Formerly, Director of
Delaware
Place Bank (closely
held
commercial bank)
(2016-2018)
and Director of
Seaway
Bank and Trust
Company
(2014-2015). |
William
F. McCalpin
151
Detroit Street
Denver,
CO 80206
DOB:
1957 |
Trustee |
6/02-Present |
Chief
Executive Officer, muun
chi
LLC (organic food
business)
(since 2022) and
Independent
Consultant (since
2019).
Formerly, Chief
Operating
Officer, muun chi
LLC
(2020-2022), Managing
Partner,
Impact Investments,
Athena
Capital Advisors LLC
(independent
registered
investment
advisor)
(2016-2019),
Managing
Director,
Holos Consulting
LLC
(provides consulting
services
to foundations and
other
nonprofit organizations)
(2009-2016),
Chief Executive
Officer,
Imprint Capital
Advisors
(impact investment
firm)
(2013-2015), and
Executive
Vice President and
Chief
Operating Officer of The
Rockefeller
Brothers Fund (a
private
family foundation)
(1998-2006). |
50 |
Chairman
of the Board and
Trustee
of The Investment
Fund
for Foundations
Investment
Program (TIP)
(consisting
of 1 fund) (since
2008).
Formerly, Director of
the
F.B. Heron Foundation (a
private
grantmaking
foundation)
(2006-2022), and
Director
of Mutual Fund
Directors
Forum (a non-profit
organization
serving
independent
directors of U.S.
mutual
funds) (2016-2021). |
Gary
A. Poliner
151
Detroit Street
Denver,
CO 80206
DOB:
1953 |
Trustee |
6/16-Present |
Retired.
Formerly, President
(2010-2013)
of Northwestern
Mutual
Life Insurance
Company. |
50 |
Director
of MGIC Investment
Corporation
(private mortgage
insurance)
(since 2013).
Formerly,
Director, West Bend
Mutual
Insurance Company
(property/casualty
insurance)
(2013-2021),
Trustee of
Northwestern
Mutual Life
Insurance
Company
(2010-2013),
and Director of
Frank
Russell Company
(global
asset management
firm)
(2008-2013).
|
TRUSTEES | |||||
Name,
Address,
and
Age |
Positions
Held
with
the
Trust |
Length
of
Time
Served |
Principal
Occupations
During
the Past Five Years |
Number
of
Portfolios/Funds
in
Fund Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustee
During
the Past Five Years |
Independent
Trustees (cont’d.) |
|
|
|
|
|
Diane
L. Wallace
151
Detroit Street
Denver,
CO 80206
DOB:
1958 |
Trustee |
6/17-Present |
Retired.
Formerly, Chief
Operating
Officer, Senior Vice
President-Operations,
and
Chief
Financial Officer for
Driehaus
Capital Management,
LLC
(1988-2006) and
Treasurer
for Driehaus Mutual
Funds
(1996-2002). |
50 |
Formerly,
Director of Family
Service
of Lake County
(2019-2021),
Independent
Trustee,
Henderson Global
Funds
(13 portfolios)
(2015-2017),
Independent
Trustee,
State Farm Associates’
Funds
Trust, State Farm
Mutual
Fund Trust, and State
Farm
Variable Product Trust
(28
portfolios) (2013-2017). |
Linda
S. Wolf
151
Detroit Street
Denver,
CO 80206
DOB:
1947 |
Trustee |
11/05-Present |
Retired.
Formerly, Chairman
and
Chief Executive Officer of
Leo
Burnett (Worldwide)
(advertising
agency)
(2001-2005). |
50 |
Director
of Chicago
Community
Trust (Regional
Community
Foundation),
Lurie
Children’s Hospital
(Chicago,
IL), and Shirley
Ryan
Ability Lab. Formerly,
Director
of Wrapports, LLC
(until
2022), Director of
Chicago
Council on Global
Affairs
(until 2019),
InnerWorkings
(until 2019)
and
Director of Walmart (until
2017). |
OFFICERS | |||
Name,
Address,
and
Age |
Positions
Held with the Trust |
Term
of
Office*
and
Length
of Time
Served |
Principal
Occupations
During
the Past Five Years |
Ashwin
Alankar
151
Detroit Street
Denver,
CO 80206
DOB:
1974 |
Executive
Vice President and Portfolio Manager
Janus
Henderson Adaptive Global Allocation Fund Executive
Vice President and Portfolio Manager
Janus
Henderson Adaptive Risk Managed U.S.
Equity
Fund |
6/15-Present 6/22-Present |
Head
of Global Asset Allocation of Janus
Henderson
Investors and Portfolio Manager
for
other Janus Henderson accounts. |
Helen
Anthony
151
Detroit Street
Denver,
CO 80206
DOB:
1988 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Global Bond Fund |
6/20-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Faizan
Baig
151
Detroit Street
Denver,
CO 80206
DOB:
1969 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Responsible International
Dividend
Fund |
10/20-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Jenna
Barnard
151
Detroit Street
Denver,
CO 80206
DOB:
1980 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Developed World Bond Fund |
6/17-Present
(predecessor
fund:
since
12/08) |
Co-Head
of Strategic Fixed Income of
Janus
Henderson Investors and Portfolio
Manager
for other Janus Henderson
accounts. |
Dylan
Bourke
151
Detroit Street
Denver,
CO 80206
DOB:
1987 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Absolute Return Income
Opportunities
Fund |
6/21-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Jason
England
151
Detroit Street
Denver,
CO 80206
DOB:
1969 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Absolute Return Income
Opportunities
Fund |
6/19-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Craig
Kempler
151
Detroit Street
Denver,
CO 80206
DOB:
1977 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Small Cap Value Fund |
10/17-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Michael
Keough
151
Detroit Street
Denver,
CO 80206
DOB:
1978 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Flexible Bond Fund Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Short Duration Flexible Bond
Fund |
12/15-Present 12/19-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
John
Kerschner
151
Detroit Street
Denver,
CO 80206
DOB:
1967 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Multi-Sector Income Fund |
2/14-Present |
Head
of U.S. Securitized Products of Janus
Henderson
Investors and Portfolio Manager
for
other Janus Henderson accounts. |
John
Lloyd
151
Detroit Street
Denver,
CO 80206
DOB:
1975 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Multi-Sector Income Fund |
2/14-Present |
Lead,
Multi-Sector Credit Strategies of
Janus
Henderson Investors and Portfolio
Manager
for other Janus Henderson
accounts. |
Ben
Lofthouse
151
Detroit Street
Denver,
CO 80206
DOB:
1976 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Responsible International
Dividend
Fund |
6/17-Present
(predecessor
fund:
since
11/14) |
Head
of Global Equity Income of Janus
Henderson
Investors and Portfolio Manager
for
other Janus Henderson accounts. |
Seth
Meyer
151
Detroit Street
Denver,
CO 80206
DOB:
1976 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Multi-Sector Income Fund Executive
Vice President and Co-Portfolio Manager
Janus
Henderson High-Yield Fund |
2/14-Present 12/15-Present |
Head
of Fixed Income Strategy of Janus
Henderson
Investors and Portfolio Manager
for
other Janus Henderson accounts.
|
OFFICERS | |||
Name,
Address,
and
Age |
Positions
Held with the Trust |
Term
of
Office*
and
Length
of Time
Served |
Principal
Occupations
During
the Past Five Years |
Andrew
Mulliner(1)
151
Detroit Street
Denver,
CO 80206
DOB:
1983 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Global Bond Fund |
1/19-Present |
Head
of Global Aggregate Strategies of
Janus
Henderson Investors and Portfolio
Manager
for other Janus Henderson
accounts. |
Brent
Olson
151
Detroit Street
Denver,
CO 80206
DOB:
1967 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson High-Yield Fund |
6/19-Present |
Portfolio
Manager for other Janus
Henderson
accounts and Analyst for Janus
Henderson
Investors. Formerly, lead
portfolio
manager at Scout Investments on
a
growth equity strategy (2013-2017). |
John
Pattullo
151
Detroit Street
Denver,
CO 80206
DOB:
1970 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Developed World Bond Fund |
6/17-Present
(predecessor
fund:
since
12/08) |
Co-Head
of Strategic Fixed-Income of
Janus
Henderson Investors and Portfolio
Manager
for other Janus Henderson
accounts. |
Kevin
Preloger
151
Detroit Street
Denver,
CO 80206
DOB:
1975 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Mid Cap Value Fund Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Small-Mid Cap Value Fund |
4/13-Present 8/19-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Daniel
Siluk
151
Detroit Street
Denver,
CO 80206
DOB:
1978 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Absolute Return Income
Opportunities
Fund |
6/21-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Justin
Tugman
151
Detroit Street
Denver,
CO 80206
DOB:
1973 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Mid Cap Value Fund Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Small Cap Value Fund Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Small-Mid Cap Value Fund |
3/15-Present 3/09-Present 8/19-Present |
Portfolio
Manager for other Janus
Henderson
accounts. |
Greg
Wilensky
151
Detroit Street
Denver,
CO 80206
DOB:
1967 |
Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Flexible Bond Fund Executive
Vice President and Co-Portfolio Manager
Janus
Henderson Short Duration Flexible Bond
Fund |
2/20-Present 2/20-Present |
Head
of U.S. Fixed Income of Janus
Henderson
Investors and Portfolio Manager
for
other Janus Henderson accounts.
Formerly,
Director and Lead Portfolio
Manager
of the U.S. Multi-Sector Fixed
Income
team at AllianceBernstein
(2007-2019). |
Michelle
Rosenberg
151
Detroit Street
Denver,
CO 80206
DOB:
1973 |
President
and Chief Executive Officer |
9/22-Present |
General
Counsel and Corporate Secretary
of
Janus Henderson Investors (since 2018).
Formerly,
Interim President and Chief
Executive
Officer of the Trust and Janus
Aspen
Series (2022), Senior Vice President
and
Head of Legal, North America of Janus
Henderson
Investors (2017-2018) and
Deputy
General Counsel of Janus
Henderson
US (Holdings) Inc.
(2015-2018).
|
OFFICERS | |||
Name,
Address,
and
Age |
Positions
Held with the Trust |
Term
of
Office*
and
Length
of Time
Served |
Principal
Occupations
During
the Past Five Years |
Kristin
Mariani
151
Detroit Street
Denver,
CO 80206
DOB:
1966 |
Vice
President, Chief Compliance Officer, and
Anti-Money
Laundering Officer |
7/20-Present |
Head
of Compliance, North America for
Janus
Henderson Investors (since
September
2020) and Chief Compliance
Officer
for Janus Henderson Investors US
LLC
(since September 2017). Formerly,
Global
Head of Investment Management
Compliance
for Janus Henderson Investors
(February
2019-August 2020), Vice
President,
Head of Global Distribution
Compliance
and Chief Compliance Officer
of
Janus Henderson Distributors US LLC
(May
2017-September 2017), Vice
President,
Compliance at Janus Henderson
US
(Holdings) Inc., Janus Henderson
Investors
US LLC, and Janus Henderson
Distributors
US LLC (2009-2017). |
Jesper
Nergaard
151
Detroit Street
Denver,
CO 80206
DOB:
1962 |
Chief
Financial Officer Vice
President, Treasurer, and Principal Accounting
Officer |
3/05-Present 2/05-Present |
Head
of U.S. Fund Administration, Janus
Henderson
Investors and Janus Henderson
Services
US LLC. |
Abigail
J. Murray
151
Detroit Street
Denver,
CO 80206
DOB:
1975 |
Vice
President, Chief Legal Officer, and Secretary |
12/20-Present |
Managing
Counsel (2020-present).
Formerly,
Senior Counsel for Invesco Ltd.
(2017-2020),
and Vice President and
Senior
Counsel, ALPS Fund Services, Inc.
and
Assistant General Counsel, ALPS
Advisors,
Inc. (2015-2017). |
|
Summary
of Functions |
Members
(Independent
Trustees) |
Number
of Meetings
Held
During Fiscal
Year
Ended
June 30,
2022 |
Audit
Committee |
Reviews
the Trust’s financial reporting process,
the
system of internal controls over financial
reporting,
disclosure controls and procedures,
including
the review of the adequacy of relevant
personnel
and the review of reports related to
such
system of internal controls, Form N-CSR,
Form
N-CEN, and Form N-PORT filings, and
the
audit process. The Committee’s review of the
audit
process includes, among other things, the
appointment,
compensation, and oversight of
the
Trust’s independent auditor, which performs
the
audits of the Trust’s financial statements,
regular
meetings and communication with
relevant
personnel at the Adviser and the
independent
auditor, and preapproval of all
audit
and nonaudit services. The Committee
also
reviews any significant changes or
improvements
in accounting and audit
processes
that have been implemented. The
Committee
receives reports from the Trust’s
Chief
Financial Officer, Treasurer, and Principal
Accounting
Officer, and from personnel
responsible
for internal audit functions related
to
financial reporting. The Committee also
oversees
service providers that provide fund
accounting
and portfolio accounting services to
the
Trust. |
Diane
L. Wallace (Chair)
William
D. Cvengros
Gary
A. Poliner
Linda
S. Wolf |
7 |
Investment
Oversight
Committee |
Oversees
the investment activities of the series
of
the Trust. The Committee meets regularly
with
investment personnel at the Adviser and
any
subadviser to the Funds to review the
investment
performance, investment risk
characteristics,
objectives, and strategies of the
Funds.
The Committee reviews reports
regarding
the use of derivative instruments by
the
Funds and information and reports with
respect
to proposed new investment
instruments
and techniques. The Committee
reviews
various matters related to the operations
of
the Janus Henderson money market funds,
including
the review of reports related to such
operations,
compliance with the Trust’s Money
Market
Fund Procedures, and Rule 2a-7 under
the
1940 Act. |
Raudline
Etienne (Chair)
Cheryl
D. Alston
Alan
A. Brown
William
D. Cvengros
Darrell
B. Jackson
William
F. McCalpin
Gary
A. Poliner
Diane
L. Wallace
Linda
S. Wolf |
5
|
|
Summary
of Functions |
Members
(Independent
Trustees) |
Number
of Meetings
Held
During Fiscal
YearEnded
June 30,
2022 |
Nominating
and
Governance
Committee |
Identifies
and recommends individuals for
Trustee
membership, recommends an
independent
Trustee to serve as Board Chair,
consults
with Fund officers and the Board Chair
in
planning Trustee meetings, reviews the
responsibilities
of each Board committee, which
includes
the need for new committees and the
continuation
of existing committees, and
oversees
the administration of, and ensures
compliance
with, the Trust’s Governance
Procedures
and Guidelines adopted by the
Trustees.
The Committee also leads the Trustees’
annual
self-assessment process and continuing
education
program, reviews, and proposes
changes
to, Trustee compensation, and oversees
the
administration of the Trust’s insurance
program. |
William
F. McCalpin (Chair)
Alan
A. Brown
Diane
L. Wallace
Linda
S. Wolf |
8 |
Operations
Committee |
Oversees
certain matters related to the operation
of
the Trust. The Committee receives reports
regarding
the operation of the Trust’s securities
lending
program, the implementation of the
Proxy
Voting Procedures and Guidelines, and
various
information technology, cybersecurity,
and
data privacy risks related to the Trust and
the
Trust’s service providers. The Committee
oversees
service providers providing
operations-related
services to the Trust,
including
the Trust’s custodian and transfer
agent.
The Committee receives reports from
personnel
responsible for the Trust’s enterprise
risk
function and the Adviser’s internal audit
function.
In addition, the Committee oversees
compliance
with certain procedures adopted by
the
Trust under exemptive orders of the SEC. |
Gary
A. Poliner (Chair)
Alan
A. Brown
William
F. McCalpin |
5 |
Product
and Distribution
Committee |
Provides
oversight of matters regarding the
Trust’s
product lineup and the distribution of
shares
of the Funds. The Committee reviews
matters
relating to the initial strategy, design,
and
positioning of new Funds and material
changes
to the strategy, design, and/or
positioning
of existing Funds. The Committee
receives
reports regarding potential Fund
closures,
liquidations, or mergers, certain Fund
fees
and expenses, and marketing and
distribution
strategies for the Funds including
payments
made by the Funds pursuant to the
Trust’s
distribution and shareholder servicing
plans.
The Committee reviews certain regulatory
filings
made with the SEC and oversees and
receives
reporting from service providers
providing
product and distribution-related
services
to the Trust. |
Alan
A. Brown (Chair)
Raudline
Etienne
William
F. McCalpin |
7
|
|
Summary
of Functions |
Members
(Independent
Trustees) |
Number
of Meetings
Held
During Fiscal
YearEnded
June 30,
2022 |
Trading
and Pricing
Committee |
Oversees
matters relating to the pricing of the
Funds’
securities and the placement of portfolio
transactions.
The Committee oversees the
Adviser
as valuation designee and reviews
reports
on fair valuation determinations and
valuation
methodologies regarding securities
and
investments held by the Funds pursuant to
valuation
procedures established by the Adviser
and
approved by the Board of Trustees. The
Committee
also reviews other matters related to
pricing
the Funds’ securities and approves
changes
to the valuation procedures. The
Committee
receives reporting regarding
portfolio
transactions with affiliates undertaken
in
accordance with the Trust’s procedures,
efforts
to obtain best execution in connection
with
portfolio transactions and commissions
paid
to firms supplying research and brokerage
services.
The Committee also receives reports
regarding
foreign exchange trading by the
Funds.
In addition, the Committee oversees
service
providers providing trading and
pricing-related
services to the Trust and reviews
reports
from the administrator of the Trust’s
liquidity
risk management program. |
William
D. Cvengros (Chair)
Gary
A. Poliner
Diane
L. Wallace |
4 |
Name
of Trustee |
Dollar
Range of Equity Securities in the Funds |
Aggregate
Dollar Range of
Equity
Securities in All
Registered
Investment
Companies
in the Fund Complex | |
Independent
Trustees |
|
|
|
Alan
A. Brown |
Janus
Henderson Multi-Sector Income Fund |
$10,001-$50,000 |
Over
$100,000 |
|
Janus
Henderson Adaptive Risk Managed U.S.
Equity
Fund |
$10,001-$50,000 |
|
|
Janus
Henderson Small Cap Value Fund |
$10,001-$50,000 |
|
Cheryl
D. Alston(1) |
None |
None |
None |
William
D. Cvengros |
Janus
Henderson Developed World Bond Fund |
Over
$100,000 |
Over
$100,000 |
Raudline
Etienne |
Janus
Henderson Absolute Return Income
Opportunities
Fund |
$10,001-$50,000 |
Over
$100,000(2) |
|
Janus
Henderson Developed World Bond Fund |
$50,001-$100,000 |
|
|
Janus
Henderson Small-Mid Cap Value Fund |
$50,001-$100,000 |
|
Darrell
B. Jackson(1) |
None |
None |
None |
William
F. McCalpin |
Janus
Henderson Small-Mid Cap Value Fund |
$10,001-$50,000 |
Over
$100,000(2) |
Gary
A. Poliner |
Janus
Henderson Mid Cap Value Fund |
Over
$100,000 |
Over
$100,000(2) |
|
Janus
Henderson Small Cap Value Fund |
Over
$100,000 |
|
Diane
L. Wallace |
Janus
Henderson Developed World Bond Fund |
Over
$100,000 |
Over
$100,000 |
Linda
S. Wolf |
Janus
Henderson Developed World Bond Fund |
Over
$100,000 |
Over
$100,000(2) |
|
Janus
Henderson Flexible Bond Fund |
Over
$100,000 |
|
|
Janus
Henderson Multi-Sector Income Fund |
Over
$100,000 |
|
Name
of Person, Position |
Aggregate
Compensation
from
the
Funds for
fiscal
year ended
June
30, 2022 |
Total
Compensation
from
the
Fund Complex
for
calendar year ended
December
31, 2021(1)(2) |
Independent
Trustees |
|
|
Alan
A. Brown, Chairman and Trustee(3)(4) |
$42,139 |
$336,000 |
Cheryl
D. Alston, Trustee(5) |
N/A |
N/A |
William
D. Cvengros, Trustee(4) |
$37,621 |
$333,000 |
Raudline
Etienne, Trustee(4) |
$37,286 |
$329,000 |
William
M. Fitzgerald, Sr., Former Trustee(6) |
N/A |
$112,115 |
Darrell
B. Jackson, Trustee(5)
|
N/A |
N/A |
William
F. McCalpin, Trustee and Former Chairman(3)(4)
|
$49,514 |
$436,000 |
Gary
A. Poliner, Trustee(4) |
$37,733 |
$333,000 |
Diane
L. Wallace, Trustee(4) |
$40,562 |
$337,000 |
Linda
S. Wolf, Trustee(4) |
$40,227 |
$336,000 |
Janus
Henderson Investment
Personnel |
|
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts |
Ashwin
Alankar |
Number
of Other Accounts Managed |
5 |
1 |
18 |
|
Assets
in Other Accounts Managed |
$841.42M |
$11.22M |
$1,606.00M |
Helen
Anthony |
Number
of Other Accounts Managed |
None |
1 |
15(1) |
|
Assets
in Other Accounts Managed |
None |
$9.61M |
$3,287.07M |
Faizan
Baig |
Number
of Other Accounts Managed |
None |
None |
3 |
|
Assets
in Other Accounts Managed |
None |
None |
$448.52M |
Jenna
Barnard(2) |
Number
of Other Accounts Managed |
None |
5 |
3 |
|
Assets
in Other Accounts Managed |
None |
$5,914.65M |
$44.04M |
Dylan
Bourke |
Number
of Other Accounts Managed |
None |
2 |
1 |
|
Assets
in Other Accounts Managed |
None |
$253.92M |
$343.50M |
Jason
England |
Number
of Other Accounts Managed |
1 |
3 |
1 |
|
Assets
in Other Accounts Managed |
$2,412.08M |
$259.37M |
$924.87M |
Craig
Kempler |
Number
of Other Accounts Managed |
None |
None |
1 |
|
Assets
in Other Accounts Managed |
None |
None |
$98.36M |
Michael
Keough |
Number
of Other Accounts Managed |
6 |
9 |
16 |
|
Assets
in Other Accounts Managed |
$34,091.23M |
$8,303.49M |
$2,937.98M
|
|
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts |
John
Kerschner |
Number
of Other Accounts Managed |
3 |
2 |
1 |
|
Assets
in Other Accounts Managed |
$2,287.06M |
$171.62M |
$27.71M |
John
Lloyd |
Number
of Other Accounts Managed |
None |
2 |
None |
|
Assets
in Other Accounts Managed |
None |
$171.62M |
None |
Ben
Lofthouse |
Number
of Other Accounts Managed |
1 |
3 |
3 |
|
Assets
in Other Accounts Managed |
$5,187.03M |
$1,255.10M |
$448.52M |
Seth
Meyer |
Number
of Other Accounts Managed |
None |
7 |
8 |
|
Assets
in Other Accounts Managed |
None |
$1,772.76M |
$1,885.80M |
Andrew
Mulliner(3) |
Number
of Other Accounts Managed |
None |
6 |
15(1) |
|
Assets
in Other Accounts Managed |
None |
$376.20M |
$3,287.07M |
Brent
Olson |
Number
of Other Accounts Managed |
None |
4 |
2 |
|
Assets
in Other Accounts Managed |
None |
$1,388.54M |
$1,462.40M |
John
Pattullo(2) |
Number
of Other Accounts Managed |
None |
5 |
3 |
|
Assets
in Other Accounts Managed |
None |
$5,914.65M |
$44.04M |
Kevin
Preloger |
Number
of Other Accounts Managed |
1(4) |
2 |
4 |
|
Assets
in Other Accounts Managed |
$113.12M |
$170.35M |
$190.06M |
Tom
Ross |
Number
of Other Accounts Managed |
None |
4 |
6 |
|
Assets
in Other Accounts Managed |
None |
$3,265.69M |
$2,132.67M |
Daniel
Siluk |
Number
of Other Accounts Managed |
1 |
3 |
1 |
|
Assets
in Other Accounts Managed |
$2,412.08M |
$259.37M |
$924.87M |
Justin
Tugman |
Number
of Other Accounts Managed |
1(4) |
2 |
5 |
|
Assets
in Other Accounts Managed |
$113.12M |
$170.35M |
$288.42M |
Greg
Wilensky |
Number
of Other Accounts Managed |
6 |
8 |
9 |
|
Assets
in Other Accounts Managed |
$34,092.77M |
$8,111.23M |
$1,183.09M |
JANUS
HENDERSON INVESTMENT PERSONNEL
COMPENSATION
INFORMATION |
Ownership
of Securities |
Investment
Personnel |
Dollar
Range of Equity Securities in the Fund(s) Managed |
Aggregate
Dollar Range of Equity
Securities
in the Fund Complex | |
Ashwin
Alankar |
Janus
Henderson Adaptive Global Allocation Fund |
$500,001-$1,000,000 |
$500,001-$1,000,000 |
|
Janus
Henderson Adaptive Risk Managed U.S.
Equity
Fund |
None |
|
Helen
Anthony |
Janus
Henderson Global Bond Fund |
None |
None |
Faizan
Baig |
Janus
Henderson Responsible International
Dividend
Fund |
None |
None |
Jenna
Barnard(1) |
Janus
Henderson Developed World Bond Fund |
None |
None |
|
Janus
Henderson Global Bond Fund** |
None |
|
Dylan
Bourke |
Janus
Henderson Absolute Return Income
Opportunities
Fund |
None |
None |
Jason
England |
Janus
Henderson Absolute Return Income
Opportunities
Fund |
$100,001-$500,000 |
$100,001-$500,000 |
Craig
Kempler |
Janus
Henderson Small Cap Value Fund |
$500,001-$1,000,000 |
$500,001-$1,000,000 |
Michael
Keough |
Janus
Henderson Flexible Bond Fund |
None |
Over
$1,000,000 |
|
Janus
Henderson Short Duration Flexible Bond
Fund |
$500,001-$1,000,000 |
|
John
Kerschner |
Janus
Henderson Multi-Sector Income Fund |
Over
$1,000,000 |
Over
$1,000,000 |
John
Lloyd |
Janus
Henderson Multi-Sector Income Fund |
Over
$1,000,000 |
Over
$1,000,000 |
Ben
Lofthouse |
Janus
Henderson Responsible International
Dividend
Fund |
None |
None |
Seth
Meyer |
Janus
Henderson High-Yield Fund |
$100,001-$500,000 |
Over
$1,000,000 |
|
Janus
Henderson Multi-Sector Income Fund |
$500,001-$1,000,000 |
|
Andrew
Mulliner(2) |
Janus
Henderson Global Bond Fund |
None |
None |
Brent
Olson |
Janus
Henderson High-Yield Fund |
$100,001-$500,000 |
$500,001-$1,000,000 |
John
Pattullo(1) |
Janus
Henderson Developed World Bond Fund |
None |
None |
|
Janus
Henderson Global Bond Fund** |
None |
|
Kevin
Preloger |
Janus
Henderson Mid Cap Value Fund |
Over
$1,000,000 |
Over
$1,000,000 |
|
Janus
Henderson Small-Mid Cap Value Fund |
Over
$1,000,000 |
|
Tom
Ross |
Janus
Henderson High-Yield Fund |
None |
None |
Daniel
Siluk |
Janus
Henderson Absolute Return Income
Opportunities
Fund |
None |
None |
Justin
Tugman |
Janus
Henderson Mid Cap Value Fund |
Over
$1,000,000 |
Over
$1,000,000 |
|
Janus
Henderson Small Cap Value Fund |
Over
$1,000,000 |
|
|
Janus
Henderson Small-Mid Cap Value Fund |
Over
$1,000,000 |
|
Investment
Personnel |
Dollar
Range of Equity Securities in the Fund(s) Managed |
Aggregate
Dollar Range of Equity
Securities
in the Fund Complex | |
Greg
Wilensky |
Janus
Henderson Flexible Bond Fund |
$500,001-$1,000,000 |
Over
$1,000,000 |
|
Janus
Henderson Short Duration Flexible Bond
Fund |
$100,001-$500,000 |
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
A Shares |
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
34.19% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of its Customers
Jacksonville,
FL |
19.92% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
13.48% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
8.05% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
6.34%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Developed World Bond Fund
Class
A Shares |
John
Hancock Trustco LLC
Westwood,
MA |
20.16% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
14.14% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
12.79% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
9.82% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MA |
8.65% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
5.44% |
Janus
Henderson Flexible Bond Fund
Class
A Shares |
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
30.33% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
15.62% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
12.46% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
11.23% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
5.50% |
|
Pershing
LLC
Jersey
City, NJ |
5.17%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Global Bond Fund
Class
A Shares |
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
22.56% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
21.59% |
|
Pershing
LLC
Jersey
City, NJ |
9.31% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
9.26% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
7.78% |
|
LPL
Financial
Omnibus
Customer Acct
San
Diego, CA |
7.34% |
|
Edward
D. Jones & Co.
For
the Benefit of its Customers
St.
Louis, MO |
6.38% |
Janus
Henderson High-Yield Fund
Class
A Shares |
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
18.39% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
15.97% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
12.63% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
11.76% |
|
AXOS
Clearing LLC
FBO
#415
Englewood,
CO |
7.50% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
6.09% |
|
Pershing
LLC
Jersey
City, NJ |
6.07% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
5.30%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Multi-Sector Income Fund
Class
A Shares |
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
24.25% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
10.51% |
|
Pershing
LLC
Jersey
City, NJ |
9.53% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
8.21% |
|
TD
Ameritrade Inc.
FBO
Our Customers
Omaha,
NE |
7.78% |
|
UBS
WM USA
0O0
11011 6100
Omni
Account M/F
Weehawken,
NJ |
6.98% |
|
LPL
Financial
A/C
1000-0005
San
Diego, CA |
6.92% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
6.52% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey,
City, NJ |
5.44% |
Janus
Henderson Short Duration Flexible Bond Fund
Class
A Shares |
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
18.97% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
15.31% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
14.11% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
11.47% |
|
UBS
WM USA
0O0
11011 6100
Omni
Account M/F
Weehawken,
NJ |
10.42% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
7.26% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
5.33%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Adaptive Global Allocation Fund
Class
A Shares |
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
51.56% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
46.54% |
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund
Class
A Shares |
Merrill
Lynch Pierce Fenner & Smith Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
28.79% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
15.67% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
10.77% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
9.17% |
|
Pershing
LLC
Jersey
City, NJ |
6.38% |
|
UBS
WM USA
000
11011 6100
Omni
Account M/F
Weehawken,
NJ |
5.29% |
Janus
Henderson Mid Cap Value Fund
Class
A Shares |
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
14.23% |
|
Pershing
LLC
Jersey
City, NJ |
12.20% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
10.70% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
9.47% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
9.45% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
8.46% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
6.38% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
5.37%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Responsible International Dividend Fund
Class
A Shares |
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
22.86% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
19.19% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
18.00% |
|
UBS
WM USA
0O0
11011 6100
Omni
Account M/F
Weehawken,
NJ |
13.31% |
|
Pershing
LLC
Jersey
City, NJ |
9.34% |
Janus
Henderson Small Cap Value Fund
Class
A Shares |
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
23.88% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
12.64% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
12.42% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
11.48% |
|
Pershing
LLC
Jersey
City, NJ |
5.45% |
Janus
Henderson Small-Mid Cap Value Fund
Class
A Shares |
Pershing
LLC
Jersey
City, NJ |
77.17% |
|
LPL
Financial
A/C
1000-0005
San
Diego, CA |
10.06% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
8.07% |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
C Shares |
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
24.10% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
18.22% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
15.58% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
14.84%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
|
Pershing
LLC
Jersey
City, NJ |
11.38% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
8.74% |
Janus
Henderson Developed World Bond Fund
Class
C Shares |
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
20.93% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
16.11% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
11.35% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
10.98% |
|
Pershing
LLC
Jersey
City, NJ |
9.61% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
8.23% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
6.88% |
|
UBS
WM USA
0O0
11011 6100
Omni
Account M/F
Weehawken,
NJ |
6.26% |
Janus
Henderson Flexible Bond Fund
Class
C Shares |
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
22.56% |
|
Pershing
LLC
Jersey
City, NJ |
16.10% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
15.66% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
7.42% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
7.14% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
6.50% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
6.04% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
5.53%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Global Bond Fund
Class
C Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
33.39% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
24.84% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
24.09% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
6.52% |
Janus
Henderson High-Yield Fund
Class
C Shares |
Pershing
LLC
Jersey
City, NJ |
27.61% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
19.87% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
10.58% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
10.14% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
6.55% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
5.94% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
5.78% |
|
JP
Morgan Securities LLC
Omnibus
Acct
For
Exclusive Benefit of Customers
Brooklyn,
NY |
5.35%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Multi-Sector Income Fund
Class
C Shares |
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
22.13% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
13.06% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
12.96% |
|
Pershing
LLC
Jersey
City, NJ |
12.62% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
12.18% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
6.14% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
5.15% |
Janus
Henderson Short Duration Flexible Bond Fund
Class
C Shares |
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
19.34% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
18.71% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
11.18% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
9.57% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
8.79% |
|
Pershing
LLC
Jersey
City, NJ |
7.79% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
6.69% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
5.88% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
5.50%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Adaptive Global Allocation Fund
Class
C Shares |
Janus
Henderson US (Holdings) Inc.
Denver,
CO |
52.20%* |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
22.84% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
7.72% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI |
6.95% |
|
Pershing
LLC
Jersey
City, NJ |
5.35% |
Janus
Henderson Adaptive Risk Managed Equity Fund
Class
C Shares |
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
17.32% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
13.77% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
12.72% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
11.01% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
9.91% |
|
Lincoln
Investment Planning LLC
FBO
Lincoln Customers
Ft.
Washington, PA |
8.49% |
|
Pershing
LLC
Jersey
City, NJ |
8.38% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
6.08%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Mid Cap Value Fund
Class
C Shares |
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
14.36% |
|
Pershing
LLC
Jersey
City, NJ |
14.17% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
12.80% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
11.99% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
10.56% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
10.53% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
5.96% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
5.01% |
Janus
Henderson Responsible International Dividend Fund
Class
C Shares |
UBS
WM USA
0O0
11011 6100
Omni
Account M/F
Weehawken,
NJ |
29.45% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
19.11% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
17.81% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
12.36% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
6.12%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Small Cap Value Fund
Class
C Shares |
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
20.56% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
20.12% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
17.66% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
16.28% |
|
Pershing
LLC
Jersey
City, NJ |
6.87% |
Janus
Henderson Small-Mid Cap Value Fund
Class
C Shares |
Pershing
LLC
Jersey
City, NJ |
36.24% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
34.23% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
11.80% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
9.55% |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
D Shares |
RMW
& BW JT WROS
Denver,
CO |
7.77% |
Janus
Henderson Adaptive Global Allocation Fund
Class
D Shares |
MSS
Denver,
CO |
13.31% |
|
AGA
Denver,
CO |
6.45% |
|
JJM
Denver,
CO |
6.22%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
I Shares |
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
33.89% |
|
National
Financial Services LLC
For
Exclusive Benefit of Our Customers
Jersey
City, NJ |
15.59% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
7.46% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
7.04% |
|
Pershing
LLC
Jersey
City, NJ |
6.58% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
6.41% |
|
TD
Ameritrade Inc.
FBO
Our Customers
Omaha,
NE |
5.54% |
Janus
Henderson Developed World Bond Fund
Class
I Shares |
National
Financial Services LLC
For
Exclusive Benefit of Our Cust
Jersey
City, NJ |
19.19% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
13.98% |
|
Charles
Schwab & Company Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
13.43% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
10.04% |
|
UBS
WM USA
0O0
11011 6100
Omni
Account M/F
Weehawken,
NJ |
6.45% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of its Customers
Jacksonville,
FL |
6.42%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Flexible Bond Fund
Class
I Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
12.32% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
11.90% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
11.73% |
|
Pershing
LLC
Jersey
City, NJ |
8.97% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
8.82% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
7.95% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
5.07% |
Janus
Henderson Global Bond Fund
Class
I Shares |
TD
Ameritrade Inc.
FBO
Our Customers
Omaha,
NE |
43.95% |
|
Mac
& Co.
A/C
XXXXXX
Pittsburgh,
PA |
31.54% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
7.16% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
5.33% |
Janus
Henderson High-Yield Fund
Class
I Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
21.81% |
|
Pershing
LLC
Jersey
City, NJ |
18.29% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
15.79% |
|
First
Premier Bank
Sioux
Falls, SD |
11.59% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
6.57%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Multi-Sector Income Fund
Class
I Shares |
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
28.65% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
14.01% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
12.92% |
|
LPL
Financial
A/C
1000-0005
San
Diego, CA |
8.91% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
7.49% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
6.72% |
Janus
Henderson Short Duration Flexible Bond Fund
Class
I Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
50.32% |
|
Pershing
LLC
Jersey
City, NJ |
13.17% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
6.43% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
5.24% |
Janus
Henderson Adaptive Global Allocation Fund
Class
I Shares |
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
43.89% |
|
Pershing
LLC
Jersey
City, NJ |
25.30% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
18.72% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
10.80%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund
Class
I Shares |
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
20.17% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
17.12% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
14.13% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
10.88% |
|
Charles
Schwab & Co Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
8.68% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
6.81% |
Janus
Henderson Mid Cap Value Fund
Class
I Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
13.86% |
|
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
13.23% |
|
Pershing
LLC
Jersey
City, NJ |
8.48% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
7.92% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
6.38% |
|
UBS
WM USA
0O0
11011 6100
Spec
Cdy A/C Excl Ben Cust UBSFSI
Weehawken,
NJ |
6.09% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
5.87% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
5.61% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
5.01%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Responsible International Dividend Fund
Class
I Shares |
Charles
Schwab & Company Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
24.84% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
15.72% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
15.59% |
|
UBS
WM USA
0O0
11011 6100
Omni
Account M/F
Weehawken,
NJ |
15.15% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
7.82% |
|
Pershing
LLC
Jersey
City, NJ |
6.43% |
|
TD
Ameritrade Inc.
FBO
Our Customers
Omaha,
NE |
5.78% |
Janus
Henderson Small Cap Value Fund
Class
I Shares |
Wells
Fargo Clearing Services LLC
Special
Custody Acct
For
the Exclusive Benefit of Customer
St.
Louis, MO |
67.60% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
6.89% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
6.64% |
|
American
Enterprise Investment Svc.
FBO
41999970
Minneapolis,
MN |
6.42% |
Janus
Henderson Small-Mid Cap Value Fund
Class
I Shares |
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
32.37% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
27.34% |
|
Pershing
LLC
Jersey
City, NJ |
16.85% |
|
LPL
Financial
A/C
1000-0005
San
Diego, CA |
5.52%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
N Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
77.59% |
|
JP
Morgan Securities LLC
Omnibus
Acct
For
Exclusive Benefit of Customers
Brooklyn,
NY |
11.28% |
|
Empower
Trust
FBO
Employee Benefits Clients 401K
Greenwood
Village, CO |
10.98% |
Janus
Henderson Developed World Bond Fund
Class
N Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
44.86% |
|
DCGT
Trustee & or Custodian
FBO
PLIC Various Retirement Plans Omnibus
Des
Moines, IA |
6.31% |
|
JP
Morgan Securities LLC
Omnibus
Account
For
Exclusive Benefit of Customers
Brooklyn,
NY |
6.12% |
Janus
Henderson Flexible Bond Fund
Class
N Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
48.76% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
7.11% |
|
Edward
D Jones & Co.
For
the Benefit of Customers
St.
Louis, MO |
7.05% |
|
SEI
Private Trust Company
C/O
Security National ID 261
Oaks,
PA |
6.09% |
|
Charles
Schwab & Co. Inc.
Special
Custody A/C
FBO
Customers
San
Francisco, CA |
5.84% |
|
Empower
Trust
FBO
City of Tallahassee
c/o
FASCore LLC
Greenwood
Village, CO |
5.48% |
Janus
Henderson Global Bond Fund
Class
N Shares |
BNP
Paribas RCC
Global
Allocation Fund-Conservative
Global
Bond Omnibus Account
Jersey
City, NJ |
43.46% |
|
BNP
Paribas RCC
Global
Allocation Fund-Moderate
Global
Bond Omnibus Account
Jersey
City, NJ |
35.56% |
|
BNP
Paribas RCC
Global
Allocation Fund-Growth
Global
Bond Omnibus Account
Jersey
City, NJ |
18.69%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson High-Yield Fund
Class
N Shares |
JP
Morgan Securities LLC
Omnibus
Acct
For
Exclusive Benefit of Customers
Brooklyn,
NY |
44.90% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
15.57% |
|
Mid
Atlantic Trust Company
FBO
Sentry Life Insurance Company 401K
Pittsburgh,
PA |
12.34% |
|
BNP
Paribas RCC
Global
Allocation Fund-Conservative
High
Yield Omnibus Account
Jersey
City, NJ |
9.14% |
|
BNP
Paribas RCC
Global
Allocation Fund-Moderate
High
Yield Omnibus Account
Jersey
City, NJ |
7.49% |
Janus
Henderson Multi-Sector Income Fund
Class
N Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
19.54% |
|
Nationwide
Trustco FSB
C/O
IPO Portfolio Accounting
Columbus,
OH |
13.02% |
|
Maril
& CO FBO JA
C/O
Reliance Trust Company WI
Milwaukee,
WI |
11.38% |
|
DCGT
Trustee & or Custodian
FBO
PLIC Various Retirement Plans Omnibus
Des
Moines, IA |
9.60% |
|
Empower
Trust
FBO
Employee Benefits Clients 401K
Greenwood
Village, CO |
8.10% |
Janus
Henderson Short Duration Flexible Bond Fund
Class
N Shares |
BNP
Paribas RCC
Global
Allocation Fund-Conservative
Short
Duration Flexible Bond Omnibus
Jersey
City, NJ |
32.65% |
|
BNP
Paribas RCC
Global
Allocation Fund-Moderate
Short
Duration Flexible Bond Omnibus
Jersey
City, NJ |
26.77% |
|
Edward
D Jones & Co.
For
the Benefit of Customers
St.
Louis, MO |
16.53% |
|
BNP
Paribas RCC
Global
Allocation Fund-Growth
Short
Duration Flexible Bond Omnibus
Jersey
City, NJ |
14.05% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
8.34%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Adaptive Global Allocation Fund
Class
N Shares |
BNP
Paribas RCC
Global
Allocation Fund-Growth
Adaptive
Global Allocation Omnibus
Jersey
City, NJ |
35.41% |
|
BNP
Paribas RCC
Global
Allocation Fund-Moderate
Adaptive
Global Allocation Omnibus
Jersey
City, NJ |
31.88% |
|
BNP
Paribas RCC
Global
Allocation Fund-Conservative
Adaptive
Global Allocation Omnibus
Jersey
City, NJ |
25.52% |
|
National
Financial Services LLC
For
the Exclusive Benefit of our Customers
Jersey
City, NJ |
7.19% |
Janus
Henderson Adaptive Risk Managed U.S. Equity Fund
Class
N Shares |
BNP
Paribas RCC
Global
Allocation Fund-Growth
Adaptive
Risk Managed U.S. Equity
Jersey
City, NJ |
38.43% |
|
BNP
Paribas RCC
Global
Allocation Fund-Moderate
Adaptive
Risk Managed U.S. Equity
Jersey
City, NJ |
26.95% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
19.18% |
|
BNP
Paribas RCC
Global
Allocation Fund-Conservative
Adaptive
Risk Managed U.S. Equity
Jersey
City, NJ |
14.73% |
Janus
Henderson Mid Cap Value Fund
Class
N Shares |
Edward
D Jones & Co.
For
the Benefit of Customers
St.
Louis, MO |
22.03% |
|
ESOR
& Co.
C/O
Associated Trust Company
Green
Bay, WI |
16.57% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
13.31% |
|
Associated
Trust Company
Green
Bay, WI |
5.75% |
Janus
Henderson Responsible International Dividend Fund
Class
N Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
98.84% |
Janus
Henderson Small Cap Value Fund
Class
N Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
27.96% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
7.25% |
|
DCGT
Trustee & or Custodian
FBO
PLIC Various Retirement Plans Omnibus
Des
Moines, IA |
5.43% |
|
OK
Pub Emp Ret Sys Brd of Trustees
FBO
OK St Emp DCP SoonerSave 457
C/O
FASCore LLC
Greenwood
Village, CO |
5.09%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Small-Mid Cap Value Fund
Class
N Shares |
Voya
Institutional Trust Co.
FBO
VIPS II
Braintree,
MA |
24.28% |
|
BNP
Paribas RCC
Global
Allocation Fund-Growth
Small
Mid Cap Value Omnibus
Jersey
City, NJ |
23.50% |
|
BNP
Paribas RCC
Global
Allocation Fund-Moderate
Small
Mid Cap Value Omnibus
Jersey
City, NJ |
15.16% |
|
DCGT
Trustee & Or Custodian
FBO
PLIC Various Retirement Plans Omnibus
Des
Moines, IA |
14.59% |
|
BNP
Paribas RCC
Global
Allocation Fund-Conservative
Small
Mid Cap Value Omnibus
Jersey
City, NJ |
7.59% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
6.51% |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
R Shares |
Sammons
Financial Network LLC
West
Des Moines, IA |
93.44% |
|
Raymond
James
House
Acct Firm #92500015
Omnibus
for Mutual Funds
St.
Petersburg, FL |
6.56% |
Janus
Henderson Flexible Bond Fund
Class
R Shares |
Sammons
Financial Network LLC
West
Des Moines, IA |
35.83% |
|
Voya
Institutional Trust Company
Windsor,
CT |
28.73% |
|
Capital
Bank & Trust Company Ttee
Celartem
Inc. 401K
Greenwood
Village, CO |
5.89% |
|
Capital
Bank & Trust Co. Ttee
FBO
JD Fulwiler & Co. Inc. 401K Plan
c/o
FASCore LLC
Greenwood
Village, CO |
5.02% |
Janus
Henderson High-Yield Fund
Class
R Shares |
State
Street Bank & Trust As Cust
FBO
ADP Access Product
Boston,
MA |
84.88% |
Janus
Henderson Mid Cap Value Fund
Class
R Shares |
Sammons
Financial Network LLC
West
Des Moines, IA |
40.70% |
|
Talcott
Resolution Life Ins Company
Separate
Account DC IV
Hartford,
CT |
9.82% |
|
State
Street Bank & Trust As Cust
FBO
ADP Access Product
Boston,
MA |
7.62% |
Janus
Henderson Small Cap Value Fund
Class
R Shares |
Sammons
Financial Network LLC
West
Des Moines, IA |
69.96% |
|
State
Street Bank & Trust As Cust
FBO
ADP Access Product
Boston,
MA |
9.24%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
S Shares |
UMB
Bank NA
FBO
Fiduciary for Various Retirement Programs
Topeka,
KS |
100% |
Janus
Henderson Developed World Bond Fund
Class
S Shares |
Mid
Atlantic Trust Company
FBO
Kingsboro Lumber Co Inc. 401K PSP
Pittsburgh,
PA |
24.74% |
|
FIIOC
FBO
Advantage Computing Systems Inc. 401K Plan
Covington,
KY |
24.21% |
|
FIIOC
FBO
C. R. Daniels Inc. 401K and Profit Sharing Plan
Covington,
KY |
17.03% |
|
Janus
Henderson US (Holdings) Inc.
Denver,
CO |
9.65%
* |
|
FIIOC
FBO
Rothstein-Tauber Inc. 401K Plan
Covington,
KY |
9.51% |
|
FIIOC
FBO
Diagnostic Instruments Inc.
401K
and Savings and Retirement Plan
Covington,
KY |
7.45% |
|
FIIOC
FBO
Verdeterre Contracting Inc. 401K Plan
Covington,
KY |
6.13% |
Janus
Henderson Flexible Bond Fund
Class
S Shares |
UMB
Bank NA
FBO
Fiduciary for Various Retirement Programs
Topeka,
KS |
31.00% |
|
Empower
Trust
FBO
Employee Benefits Clients 401K
Greenwood
Village, CO |
11.48% |
|
Talcott
Resolution Life Ins Company
Separate
Account DC IV
Hartford,
CT |
7.27% |
|
FIIOC
FBO
Venture Construction Company
Profit
Sharing Plan and Trust
Covington,
KY |
7.16% |
Janus
Henderson Global Bond Fund
Class
S Shares |
Mid
Atlantic Trust Co.
FBO
Troxell Physical Therapy 401K Pro
Pittsburgh,
PA |
72.20% |
|
Mid
Atlantic Trust Co.
FBO
Wasson Nursery Inc. 401K PS
Pittsburgh,
PA |
16.77% |
|
Ascensus
Trust Company
FBO
Automation Engineering
Retirement
S 686234
Fargo,
ND |
8.32%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson High-Yield Fund
Class
S Shares |
FIIOC
FBO
Pyromation Inc.
Covington,
KY |
24.25% |
|
FIIOC
FBO
Hobbs Inc. 401K Profit Sharing Plan
Covington,
KY |
23.82% |
|
National
Financial Services LLC TR
For
Exclusive Benefit of Our Cust
Jersey
City, NJ |
10.74% |
|
Albany-Troy
Cataract & Laser Ttee
c/o
FASCore LLC
Greenwood
Village, CO |
8.71% |
|
Capital
Bank & Trust Co. Ttee
c/o
FASCore LLC
Greenwood
Village, CO |
8.01% |
|
FIIOC
FBO
Witwer Construction Inc.
Retirement
Plan
Covington,
KY |
7.31% |
Janus
Henderson Multi-Sector Income Fund
Class
S Shares |
Voya
Institutional Trust Company
Windsor,
CT |
36.60% |
|
State
Street Bank & Trust As Cust
FBO
ADP Access Product
Boston,
MA |
19.14% |
|
Matrix
Trust Company
FBO
Consolidated Minerals Inc. 401K
Denver,
CO |
10.96% |
|
Empower
Trust
FBO
Employee Benefits Clients 401K
Greenwood
Village, CO |
9.28% |
|
FIIOC
FBO
Nesin Therapy Services Inc. Retirement Plan
Covington,
KY |
5.47% |
|
Matrix
Trust Company
FBO
GeoKids 401(K) Profit Sharing Plan
Denver,
CO |
5.03% |
Janus
Henderson Short Duration Flexible Bond Fund
Class
S Shares |
FIIOC
FBO
Nor-Cal Controls Inc.
Savings
and Retirement Plan
Covington,
KY |
30.00% |
|
FIIOC
FBO
Augmentum Inc. 401K P/S Plan
Covington,
KY |
27.96% |
|
National
Financial Services LLC
For
Exclusive Benefit of Our Customers
Jersey
City, NJ |
23.82% |
|
Edward
D Jones & Co
For
the Benefit of Customers
St
Louis, MO |
5.96% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct
FBO
Customers
San
Francisco, CA |
5.04% |
Janus
Henderson Adaptive Global Allocation Fund
Class
S Shares |
Janus
Henderson US (Holdings) Inc.
Denver,
CO |
100%*
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Mid Cap Value Fund
Class
S Shares |
UMB
Bank NA
FBO
Fiduciary for Tax Deferred Acct
Topeka,
KS |
30.97% |
|
Empower
Trust
FBO
Great West IRA Advantage
C/O
FASCore LLC
Greenwood
Village, CO |
6.96% |
|
Empower
Trust
FBO
Employee Benefits Clients 401K
Greenwood
Village, CO |
6.88% |
|
Massachusetts
Mutual Life Insurance Company
Springfield,
MA |
5.76% |
|
Empower
Annuity Insurance
FBO
Future Funds II
Greenwood
Village, CO |
5.50% |
Janus
Henderson Small Cap Value Fund
Class
S Shares |
VRSCO
FBO
AIGFSB Custodian Trustee
FBO
State Univ System of Florida 403B
Houston,
TX |
30.21% |
|
State
Street Bank & Trust As Cust
FBO
ADP Access Product
Boston,
MA |
19.58% |
|
Empower
Trust
FBO
Various Suntrust Omnibus Accounts
Greenwood
Village, CO |
6.49% |
|
American
United Life Insurance Co.
Group
Retirement Annuity
Indianapolis,
IN |
5.74% |
Janus
Henderson Responsible International Dividend Fund
Class
S Shares |
Janus
Henderson US (Holdings) Inc.
Denver,
CO |
100%* |
Janus
Henderson Small-Mid Cap Value Fund
Class
S Shares |
State
Street Bank & Trust as Cust
FBO
ADP Access Product
Boston,
MA |
52.24% |
|
FIIOC
FBO
Armand Agra Inc 401(K) Plan
Covington,
KY |
35.99% |
|
Janus
Henderson US (Holdings) Inc.
Denver,
CO |
10.62%*
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Absolute Return Income Opportunities Fund
Class
T Shares |
National
Financial Svcs Corp
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
24.01% |
|
Charles
Schwab & Co. Inc.
Special
Custody Acct FBO Customers
San
Francisco, CA |
20.92% |
|
Charles
Schwab & Co. Inc.
Reinvest
Account
San
Francisco, CA |
20.91% |
|
JP
Morgan Securities LLC
For
Exclusive Benefit of Customers
Omnibus
Account
Brooklyn,
NY |
11.41% |
|
TD
Ameritrade Inc.
For
the Exclusive Benefit of Our Clients
Omaha,
NE |
7.02% |
|
Pershing
LLC
Jersey
City, NJ |
5.56% |
Janus
Henderson Developed World Bond Fund
Class
T Shares |
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
38.26% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
30.59% |
|
TD
Ameritrade
Omaha,
NE |
11.62% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
9.46% |
Janus
Henderson Flexible Bond Fund
Class
T Shares |
National
Financial Services Co.
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
40.02% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
29.13% |
|
TD
Ameritrade Inc.
For
the Exclusive Benefit of Our Clients
Omaha,
NE |
9.05%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Global Bond Fund
Class
T Shares |
National
Financial Services LLC
For
Exclusive Benefit of Our Cust
Jersey
City, NJ |
46.66% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
12.39% |
|
Merrill
Lynch Pierce Fenner & Smith, Inc.
For
the Sole Benefit of Customers
Jacksonville,
FL |
10.49% |
|
TD
Ameritrade Inc.
For
the Exclusive Benefit of Our Clients
Omaha,
NE |
7.50% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
7.46% |
|
Edward
D Jones & Co.
For
the Benefit of Customers
St
Louis, MO |
5.58% |
Janus
Henderson High-Yield Fund
Class
T Shares |
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
34.63% |
|
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
31.94% |
|
RBC
Capital Markets LLC
Mutual
Fund Omnibus Processing
Minneapolis,
MN |
13.80% |
|
TD
Ameritrade Inc.
For
the Exclusive Benefit of Our Clients
Omaha,
NE |
6.64% |
Janus
Henderson Multi-Sector Income Fund
Class
T Shares |
Charles
Schwab & Co. Inc.
Reinvest
Account
San
Francisco, CA |
41.06% |
|
National
Financial Svcs. Corp.
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
33.04% |
|
TD
Ameritrade Inc.
For
the Exclusive Benefit of Our Clients
Omaha,
NE |
13.51% |
|
LPL
Financial
Omnibus
Customer Account
San
Diego, CA |
8.82% |
Janus
Henderson Short Duration Flexible Bond Fund
Class
T Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
56.19% |
|
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
26.42% |
|
Morgan
Stanley Smith Barney LLC
For
the Exclusive Benefit of its Customers
New
York, NY |
5.36% |
Janus
Henderson Adaptive Global Allocation Fund
Class
T Shares |
National
Financial Services LLC
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
95.20%
|
Fund
Name |
Shareholder
and Address of Record |
Percentage
Ownership |
Janus
Henderson Mid Cap Value Fund
Class
T Shares |
National
Financial Svcs. Corp.
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
39.18% |
|
Charles
Schwab & Co. Inc.
Reinvest
Account
San
Francisco, CA |
34.27% |
|
TD
Ameritrade Inc.
For
the Exclusive Benefit of Our Clients
Omaha,
NE |
6.20% |
Janus
Henderson Small Cap Value Fund
Class
T Shares |
National
Financial Services Co.
For
the Exclusive Benefit of Our Customers
Jersey
City, NJ |
38.61% |
|
Charles
Schwab & Co. Inc.
Reinvest
Account
San
Francisco, CA |
30.47% |
|
TD
Ameritrade Inc.
For
the Exclusive Benefit of Our Clients
Omaha,
NE |
5.54% |
Janus
Henderson Responsible International Dividend Fund
Class
T Shares |
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
90.84% |
Janus
Henderson Small-Mid Cap Value Fund
Class
T Shares |
Charles
Schwab & Co. Inc.
Exclusive
Benefit of Our Customers
Reinvest
Account
San
Francisco, CA |
53.24% |
|
National
Financial Services LLC
For
Exclusive Benefit of Our Cust
Jersey
City, NJ |
25.66% |
|
TD
Ameritrade Inc.
FEBO
Our Client
Omaha,
NE |
5.80% |
|
Matrix
Trust Company
Cust
FBO Employees Profit Sharing Plan of GE
Phoenix,
AZ |
5.29% |
|
T
Rowe Price Trust Co.
FBO
RPS Clients
Baltimore,
MD |
5.05% |
Fund
Name |
Class
A
Shares |
Class
C
Shares |
Class
D
Shares |
Class
I
Shares |
Class
L
Shares |
Class
N
Shares |
Class
R
Shares |
Class
S
Shares |
Class
T
Shares |
Janus
Henderson Absolute Return Income
Opportunities
Fund |
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Adaptive Global Allocation Fund |
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Adaptive Risk Managed U.S. Equity
Fund(1) |
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Asia Equity Fund |
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Balanced Fund(1)(2) |
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Contrarian Fund(1)(2) |
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Developed World Bond Fund(3) |
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Emerging Markets Fund(3)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Enterprise Fund(1)(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson European Focus Fund(3)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Flexible Bond Fund(1)(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Forty Fund(1)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Global Allocation Fund –
Conservative(2)
|
x |
x |
x |
x |
|
|
|
x |
x |
Janus
Henderson Global Allocation Fund – Growth(2)
|
x |
x |
x |
x |
|
|
|
x |
x |
Janus
Henderson Global Allocation Fund –
Moderate(2)
|
x |
x |
x |
x |
|
|
|
x |
x |
Janus
Henderson Global Bond Fund |
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Global Equity Income Fund(3)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Global Life Sciences Fund(2)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Global Real Estate Fund(1)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Global Research Fund(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Global Select Fund(1)(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Global Sustainable Equity Fund |
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Global Technology and Innovation
Fund(2)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Government Money Market Fund(2)
|
|
|
x |
|
|
|
|
|
x |
Janus
Henderson Growth and Income Fund(1)(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson High-Yield Fund(1)(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson International Opportunities Fund(3)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Mid Cap Value Fund(1)(2)
|
x |
x |
x |
x |
x |
x |
x |
x |
x |
Janus
Henderson Money Market Fund(2)
|
|
|
x |
|
|
|
|
|
x |
Janus
Henderson Multi-Sector Income Fund |
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Overseas Fund(1)(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Research Fund(2)
|
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Responsible International Dividend
Fund(3)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Short Duration Flexible Bond
Fund(2)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Janus
Henderson Small Cap Value Fund(1)(2)
|
x |
x |
x |
x |
x |
x |
x |
x |
x |
Janus
Henderson Small-Mid Cap Value Fund |
x |
x |
x |
x |
|
x |
|
x |
x
|
Fund
Name |
Class
A
Shares |
Class
C
Shares |
Class
D
Shares |
Class
I
Shares |
Class
L
Shares |
Class
N
Shares |
Class
R
Shares |
Class
S
Shares |
Class
T
Shares |
Janus
Henderson Sustainable Multi-Asset Allocation
Fund |
|
|
x |
|
|
|
|
|
|
Janus
Henderson Triton Fund(1)(2) |
x |
x |
x |
x |
|
x |
x |
x |
x |
Janus
Henderson Venture Fund(2)
|
x |
x |
x |
x |
|
x |
|
x |
x |
Documents
Incorporated By Reference To The Annual Reports of Janus
Investment
Fund
(Audited) |
Standard
& Poor’s Ratings Services |
Bond
Rating |
Explanation |
Investment
Grade |
|
AAA |
Highest
rating; extremely strong capacity to pay principal and
interest. |
AA |
High
quality; very strong capacity to pay principal and
interest. |
A |
Strong
capacity to pay principal and interest; somewhat more susceptible to the
adverse effects of changing
circumstances
and economic conditions. |
BBB |
Adequate
capacity to pay principal and interest; normally exhibit adequate
protection parameters, but adverse
economic
conditions or changing circumstances more likely to lead to a weakened
capacity to pay principal
and
interest than for higher rated bonds. |
Non-Investment
Grade |
|
BB |
Less
vulnerable to nonpayment than other speculative issues; major ongoing
uncertainties or exposure to
adverse
business, financial, or economic conditions which could lead to the
obligor’s inadequate capacity to
meet
its financial commitment on the obligation. |
B |
More
vulnerable to nonpayment than obligations rated “BB,” but capacity to meet
its financial commitment on
the
obligation; adverse business, financial, or economic conditions will
likely impair the obligor’s capacity or
willingness
to meet its financial commitment on the
obligation. |
CCC |
Currently
vulnerable to nonpayment, and is dependent upon favorable business,
financial, and economic
conditions
for the obligor to meet its financial commitment on the
obligation. |
CC |
Currently
highly vulnerable to nonpayment. |
C |
Currently
highly vulnerable to nonpayment; a bankruptcy petition may have been filed
or similar action taken,
but
payments on the obligation are being continued. |
D |
In
default. |
Fitch,
Inc. |
Long-Term
Bond Rating |
Explanation |
Investment
Grade |
|
AAA |
Highest
credit quality. Denotes the lowest expectation of credit risk.
Exceptionally strong capacity for payment
of
financial commitments. |
AA |
Very
high credit quality. Denotes expectations of very low credit risk. Very
strong capacity for payment of
financial
commitments. |
A |
High
credit quality. Denotes expectations of low credit risk. Strong capacity
for payment of financial
commitments.
May be more vulnerable to changes in circumstances or in economic
conditions than is the case
for
higher ratings. |
BBB |
Good
credit quality. Currently expectations of low credit risk. Capacity for
payment of financial commitments
is
considered adequate, but adverse changes in circumstances and economic
conditions are more likely to
impair
this capacity than is the case for higher
ratings. |
Non-Investment
Grade |
|
BB |
Speculative.
Indicates possibility of credit risk developing, particularly as the
result of adverse economic
change
over time. Business or financial alternatives may be available to allow
financial commitments to be met. |
B |
Highly
speculative. May indicate distressed or defaulted obligations with
potential for extremely high
recoveries. |
CCC |
May
indicate distressed or defaulted obligations with potential for superior
to average levels of recovery. |
CC |
May
indicate distressed or defaulted obligations with potential for average or
below-average levels of recovery. |
C |
May
indicate distressed or defaulted obligations with potential for
below-average to poor recoveries. |
D |
In
default. |
Short-Term
Bond Rating |
Explanation |
F-1+ |
Exceptionally
strong credit quality. Issues assigned this rating are regarded as having
the strongest degree of
assurance
for timely payment. |
F-1 |
Very
strong credit quality. Issues assigned this rating reflect an assurance
for timely payment only slightly less
in
degree than issues rated F-1+. |
F-2 |
Good
credit quality. Issues assigned this rating have a satisfactory degree of
assurance for timely payments, but
the
margin of safety is not as great as the F-1+ and F-1
ratings. |
Moody’s
Investors Service, Inc. |
Bond
Rating* |
Explanation |
Investment
Grade |
|
Aaa |
Highest
quality, smallest degree of investment risk. |
Aa |
High
quality; together with Aaa bonds, they compose the high-grade bond
group. |
A |
Upper-medium
grade obligations; many favorable investment
attributes. |
Baa |
Medium-grade
obligations; neither highly protected nor poorly secured. Interest
payments and principal
security
appear adequate for the present but certain protective elements may be
lacking or may be unreliable
over
any great length of time. |
Non-Investment
Grade |
|
Ba |
More
uncertain, with speculative elements. Protection of interest and principal
payments not well safeguarded
during
good and bad times. |
B |
Lack
characteristics of desirable investment; potentially low assurance of
timely interest and principal
payments
or maintenance of other contract terms over time. |
Caa |
Poor
standing, may be in default; elements of danger with respect to principal
or interest payments. |
Ca |
Speculative
in a high degree; could be in default or have other marked
shortcomings. |
C |
Lowest
rated; extremely poor prospects of ever attaining investment
standing. |