|
Fund
Name
|
| |
Class
I
|
| |
Class
R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class
R4
|
| |
Class
A
|
| |
Class
R3
|
| |
Class
Y |
| ||||||||||||||||||||||||
|
MassMutual U.S.
Government Money Market Fund |
| | | | | | | | | | MKSXX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
|
MassMutual Inflation-
Protected and Income Fund |
| | | | MIPZX | | | | | | MIPSX | | | | | | MIPYX | | | | | | MIPLX | | | | | | MIPRX | | | | | | MPSAX | | | | | | MIPNX | | | | | | MMODX | | |
|
MassMutual Core Bond
Fund |
| | | | MCZZX | | | | | | MCBDX | | | | | | MCBYX | | | | | | MCBLX | | | | | | MCZRX | | | | | | MMCBX | | | | | | MCBNX | | | | | | MMNWX | | |
|
MassMutual Diversified
Bond
Fund |
| | | | MDBZX | | | | | | MDBSX | | | | | | MDBYX | | | | | | MDBLX | | | | | | MDBFX | | | | | | MDVAX | | | | | | MDBNX | | | | | | MMOBX | | |
|
MassMutual Balanced Fund |
| | | | MBBIX | | | | | | MBLDX | | | | | | MBAYX | | | | | | MMBLX | | | | | | MBBRX | | | | | | MMBDX | | | | | | MMBRX | | | | | | MMNVX | | |
|
MassMutual Disciplined
Value
Fund |
| | | | MPIVX | | | | | | MEPSX | | | | | | DENVX | | | | | | MPILX | | | | | | MPIRX | | | | | | MEPAX | | | | | | MPINX | | | | | | MMOAX | | |
|
MassMutual Main Street
Fund |
| | | | MSZIX | | | | | | MMSSX | | | | | | MMSYX | | | | | | MMSLX | | | | | | MSSRX | | | | | | MSSAX | | | | | | MMSNX | | | | | | MMOFX | | |
|
MassMutual Disciplined
Growth
Fund |
| | | | MPDIX | | | | | | MPGSX | | | | | | DEIGX | | | | | | MPGLX | | | | | | MPDGX | | | | | | MPGAX | | | | | | MPDRX | | | | | | MMNYX | | |
|
MassMutual Small Cap
Opportunities Fund |
| | | | MSOOX | | | | | | MSCDX | | | | | | MSVYX | | | | | | MSCLX | | | | | | MOORX | | | | | | DLBMX | | | | | | MCCRX | | | | | | MMOGX | | |
| MassMutual Global Fund | | | | | MGFZX | | | | | | MGFSX | | | | | | MGFYX | | | | | | MGFLX | | | | | | MGFRX | | | | | | MGFAX | | | | | | MGFNX | | | | | | MMOCX | | |
|
MassMutual International
Equity
Fund |
| | | | MIZIX | | | | | | MIEDX | | | | | | MYIEX | | | | | | MIELX | | | | | | MEIRX | | | | | | MMIAX | | | | | | MEERX | | | | | | MMOEX | | |
|
MassMutual Strategic
Emerging Markets Fund |
| | | | MPZSX | | | | | | MPSMX | | | | | | MPEYX | | | | | | MPLSX | | | | | | MPRSX | | | | | | MPASX | | | | | | MPZRX | | | | | | MMOHX | | |
| | |
Page |
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-47 | | | |
| | | | B-49 | | | |
| | | | B-50 | | | |
| | | | B-61 | | | |
| | | | B-76 | | | |
| | | | B-83 | | | |
| | | | B-83 | | | |
| | | | B-84 | | | |
| | | | B-85 | | | |
| | | | B-85 | | | |
| | | | B-85 | | | |
| | | | B-85 | | | |
| | | | B-89 | | | |
| | | | B-90 | | | |
| | | | B-91 | | | |
| | | | B-92 | | | |
| | | | B-94 | | | |
| | | | B-104 | | | |
| | | | B-105 | | | |
| | | | B-109 | | | |
| | | | B-148 | | |
| Allan W. Blair 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1948 Trustee of the Trust since 2012 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Nabil N. El‑Hage 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1958 Trustee of the Trust since 2003 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Maria D. Furman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2004 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| R. Bradford Malt 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2022 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| C. Ann Merrifield 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1951 Trustee of the Trust since 2004 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Cynthia R. Plouché 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2022 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Jason J. Price 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1973 Trustee of the Trust since 2022 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Susan B. Sweeney 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1952 Chairperson of the Trust since 2022 Trustee of the Trust since 2012 Trustee of 112 portfolios in fund complex1 |
| | Chairperson and Trustee of the Trust | |
| Michael R. Fanning2
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1963 Trustee of the Trust since 2021 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Clifford M. Noreen3
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2021 Trustee of 112 portfolios in fund complex4 |
| | Trustee of the Trust | |
| Andrea Anastasio 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1974 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | Vice President | |
| Andrew M. Goldberg 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1966 Officer of the Trust since 2004 Officer of 110 portfolios in fund complex |
| | Vice President, Secretary, and Chief Legal Officer of the Trust | |
| Renee Hitchcock 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1970 Officer of the Trust since 2007 Officer of 110 portfolios in fund complex |
| | Chief Financial Officer and Treasurer of the Trust | |
| Paul LaPiana 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1969 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | President of the Trust | |
| Jill Nareau Robert 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1972 Officer of the Trust since 2008 Officer of 110 portfolios in fund complex |
| | Vice President and Assistant Secretary of the Trust | |
| Douglas Steele 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1975 Officer of the Trust since 2016 Officer of 110 portfolios in fund complex |
| | Vice President of the Trust | |
| Philip S. Wellman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1964 Officer of the Trust since 2007 Officer of 110 portfolios in fund complex |
| | Vice President and Chief Compliance Officer of the Trust | |
Name
of Trustee |
| |
The Dollar Range of Equity Securities Beneficially Owned in the Trust |
| |
Aggregate Dollar Range of Equity
Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|
Independent Trustees | | | | | | | |
Allan W. Blair |
| |
None
|
| |
over
$100,000 |
|
Nabil N. El-Hage |
| |
None
|
| |
None
|
|
Maria D. Furman |
| |
None
|
| |
None
|
|
R.
Bradford Malt |
| |
None |
| |
None |
|
C.
Ann Merrifield |
| |
None
|
| |
None
|
|
Cynthia R. Plouché |
| |
None |
| |
None |
|
Jason J. Price |
| |
None |
| |
None |
|
Susan B. Sweeney |
| |
None
|
| |
None
|
|
Interested Trustees | | | | | | | |
Michael R. Fanning |
| |
None |
| |
None |
|
Clifford M. Noreen |
| |
None |
| |
None |
|
Name of Trustee |
| |
Aggregate
Compensation from the Trust |
| |
Total Compensation from the Trust and
Fund Complex Paid to Trustees |
|
Allan W. Blair |
| |
$21,860 |
| |
$285,825 |
|
Nabil N. El-Hage |
| |
$22,451 1
|
| |
$337,648 |
|
Michael R. Fanning |
| |
$0 |
| |
$0 |
|
Maria D. Furman |
| |
$20,479 |
| |
$267,800 |
|
R.
Alan Hunter, Jr. 2
|
| |
$17,803 |
| |
$224,700 |
|
R.
Bradford Malt 3
|
| |
$5,755 |
| |
$79,930 |
|
C.
Ann Merrifield |
| |
$21,321 |
| |
$279,500 |
|
Clifford M. Noreen |
| |
$0 |
| |
$0 |
|
Cynthia R. Plouché 3
|
| |
$5,755 |
| |
$119,930 |
|
Jason J. Price 3
|
| |
$5,755 |
| |
$119,930 |
|
Susan B. Sweeney |
| |
$25,874 |
| |
$510,787 |
|
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R5 | | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 33.59% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.34% | | |
| | |
Reliance Trust Company
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 18.88% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 24.72% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.42% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 14.87% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2020 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 7.25% | | |
| | |
Matrix Trust Company
TTEE
FBO GoalPath 2020 Cons Enhanced
P.O.
Box 52129
Phoenix, AZ 85072 |
| | | | 6.39% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 63.63% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 28.57% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 73.38% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.73% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 5.04% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 68.88% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.40% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 39.27% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.58% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 11.25% | | |
| | |
VRSCO FBO AIGFSB
FBO
Compass Behavioral Health
2727-A
Allen Parkway
Houston, TX 77019 |
| | | | 9.55% | | |
| | |
State Street Bank
Trustee
FBO ADP
Access Product
1
Lincoln Street
Boston,
MA 02110 |
| | | | 6.53% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 43.60% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.14% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 19.84% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 61.71% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 32.02% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 25.79% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 14.30% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.17% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 10.25% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2020 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.81% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2025 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.67% | | |
| | |
MassMutual 20/80 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.34% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 84.11% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 8.88% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.71% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 52.07% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 45.00% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 74.29% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.65% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 76.37% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.95% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 8.61% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 69.33% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.04% | | |
| | |
Matrix Trust Company
Trustee
FBO
Kayser-Roth Corporation
P.O.
Box 52129
Phoenix, AZ 85072 |
| | | | 8.74% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 5.31% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 54.43% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 42.16% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 58.34% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 38.31% | | |
Class R5 |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 70.79% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 14.59% | | |
| | |
Capinco c/o US Bank NA
1555
North Rivercenter Drive, Suite 302
Milwaukee, WI 53212 |
| | | | 12.34% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 58.66% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 41.34% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 88.73% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 11.27% | | |
Class R4 |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 51.70% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 26.24% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 22.06% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 55.75% | | |
| | |
Reliance Trust Company
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 21.76% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.03% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.90% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 17.10% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 57.48% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 21.78% | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 20.63% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.22% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 61.19% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 37.91% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.21% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 55.17% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 36.86% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.97% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 49.02% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 38.18% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 7.05% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 53.83% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 40.18% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.91% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 83.75% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 16.01% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.05% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 97.26% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 99.31% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 87.17% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.37% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 72.13% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 20.05% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 7.82% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 69.17% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.95% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.07% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 92.78% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.22% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 75.63% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 23.02% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 48.99% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 26.78% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.14% | | |
| | |
Reliance Trust Company
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 7.71% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 5.18% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 65.07% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 21.44% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.48% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 64.68% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 33.85% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 68.96% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.04% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 92.88% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.75% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 64.54% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 35.46% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 95.83% | | |
Class A |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 57.24% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.74% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 93.82% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Reliance Trust Company
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 16.33% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 16.12% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.35% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 11.52% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
TIAA, FSB Custodian/TTEE
211
North Broadway Suite 1000
Saint
Louis, MO 63102 |
| | | | 11.51% | | |
| | |
SEI Private Trust
Company
One
Freedom Valley Drive
Oaks,
PA 19456 |
| | | | 11.00% | | |
| | |
Mid Atlantic Trust
Company
FBO
Popular, Inc.
1251
Waterfront Place, Suite 525
Pittsburgh, PA 15222 |
| | | | 6.88% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 61.20% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 18.21% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.32% | | |
| | |
T. Rowe Price Retirement Plan
Services Inc.
4515
Painters Mill Road
Owings
Mills, MD 21117 |
| | | | 5.82% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 58.14% | | |
| | |
John Hancock Trust Company
LLC
200
Berkeley Street
Boston,
MA 02116 |
| | | | 16.43% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.96% | | |
Administrative Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 39.98% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.71% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 12.67% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 11.62% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 40.10% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.23% | | |
| | |
FIIOC
FBO
Scheurer Hospital Employees Retirement Plan
100
Magellan Way
Covington, KY 41015 |
| | | | 10.24% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 8.73% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 75.25% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.25% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 50.39% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 32.77% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 11.12% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 41.84% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 17.11% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.97% | | |
| | |
John Hancock Trust Company
LLC
690
Canton Street, Suite 100
Westwood, MA 02090 |
| | | | 11.54% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 8.17% | | |
| | |
DCGT as TTEE and/or Custodian
Omnibus
711
High Street
Des
Moines, IA 50392 |
| | | | 5.20% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 89.55% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.25% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 67.92% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.42% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 97.60% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 40.92% | | |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.31% | | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.88% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 64.71% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 26.83% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.96% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 43.93% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.10% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
MassMutual
RetireSMARTSM by JPMorgan 2040 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 17.12% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
MassMutual
RetireSMARTSM by JPMorgan 2050 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 13.47% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 13.23% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2035 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 8.93% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2045 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 8.25% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 7.44% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.59% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 81.96% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 18.04% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 89.28% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.72% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.63% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.37% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 46.05% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 42.10% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 75.30% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 21.80% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 27.10% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 26.72% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 11.85% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2040 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.39% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2050 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.07% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 100.00% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 78.47% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 20.00% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 43.69% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 40.73% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 15.57% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 92.48% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 6.14% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class A |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 55.80% | | |
| | |
Millennium Trust Company
LLC
2001
Spring Road
Oak
Brook, IL 60523 |
| | | | 19.08% | | |
| | |
Reliance Trust Company
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 17.22% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 7.91% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 78.83% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 20.89% | | |
Fund |
| | | |
U.S. Government Money Market Fund
|
| |
0.35% on the first $1 billion;
and
0.33%
on assets over $1 billion |
|
Inflation-Protected and Income Fund
|
| |
0.38% on the first $350
million; and
0.33%
on assets over $350 million |
|
Core Bond Fund |
| |
0.38% on the first $1.5
billion;
0.33%
on the next $500 million; and
0.28%
on assets over $2 billion |
|
Diversified Bond Fund |
| |
0.40% on the first $150
million; and
0.30%
on assets over $150 million |
|
Balanced Fund |
| |
0.48% on the first $300
million; and
0.43%
on assets over $300 million |
|
Disciplined Value Fund |
| |
0.45% on the first $400
million; and
0.40%
on assets over $400 million |
|
Main Street Fund |
| |
0.55% on the first $300
million; and
0.50%
on assets over $300 million |
|
Disciplined Growth Fund |
| |
0.45% on the first $400
million; and
0.40%
on assets over $400 million |
|
Fund |
| | | |
Small Cap Opportunities Fund
|
| |
0.58% on the first $300
million; and
0.53%
on assets over $300 million |
|
Global Fund |
| |
0.75% on the first $400
million; and
0.70%
on assets over $400 million |
|
International Equity Fund |
| |
0.83% on the first $500
million;
0.78%
on the next $500 million; and
0.73%
on assets over $1 billion |
|
Strategic Emerging Markets Fund
|
| |
1.00% on the first $350
million; and
0.95%
on assets over $350 million |
|
|
U.S. Government Money Market Fund
|
| | 0.05% | |
|
Inflation-Protected and Income Fund
|
| | 0.08% | |
|
Core Bond Fund |
| | 0.10% | |
|
Diversified Bond Fund |
| | 0.10% | |
| | | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
| ||||||||||||||||||||||||
|
U.S. Government Money
Market Fund |
| | | | N/A | | | | | | 0.10% | | | |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| ||||||||||||||||||
|
Inflation-Protected and
Income Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Core
Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Diversified Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Balanced Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Disciplined Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Main
Street Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Disciplined Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
| Small Cap Opportunities Fund | | | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Global Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
International Equity Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Strategic Emerging Markets
Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
U.S. Government Money Market
Fund 1
|
| | | $ | 749,721 | | | | | $ | 106,136 | | | | | $ | (579,463) | | | | | $ | 214,206 | | | | | $ | — | | |
Inflation-Protected and Income Fund
|
| | | | 1,306,626 | | | | | | 273,960 | | | | | | — | | | | | | 250,070 | | | | | | — | | |
Core Bond Fund |
| | | | 3,605,606 | | | | | | 944,744 | | | | | | — | | | | | | 554,959 | | | | | | — | | |
Diversified Bond Fund |
| | | | 743,083 | | | | | | 194,666 | | | | | | — | | | | | | 147,206 | | | | | | — | | |
Balanced Fund |
| | | | 676,064 | | | | | | 168,892 | | | | | | — | | | | | | 163,789 | | | | | | — | | |
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Disciplined Value Fund |
| | | | 391,217 | | | | | | 137,806 | | | | | | — | | | | | | 92,006 | | | | | | — | | |
Main Street Fund |
| | | | 578,977 | | | | | | 262,809 | | | | | | — | | | | | | 158,201 | | | | | | — | | |
Disciplined Growth Fund |
| | | | 963,176 | | | | | | 339,059 | | | | | | — | | | | | | 327,262 | | | | | | — | | |
Small Cap Opportunities Fund
|
| | | | 1,923,907 | | | | | | 1,338,280 | | | | | | — | | | | | | 431,368 | | | | | | — | | |
Global Fund |
| | | | 2,142,324 | | | | | | 1,044,977 | | | | | | — | | | | | | 398,854 | | | | | | — | | |
International Equity Fund 2
|
| | | | 1,165,318 | | | | | | 491,959 | | | | | | (70,200) | | | | | | 96,422 | | | | | | — | | |
Strategic Emerging Markets
Fund 3
|
| | | | 1,409,379 | | | | | | 985,692 | | | | | | — | | | | | | 11,539 | | | | | | (288,468) | | |
| | | |
Fiscal Year Ended
September 30, 2021 |
| |||||||||||||||||||||||||||||||||
| | | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Supplemental Shareholder Services Fees Paid |
| |
Other Expenses Reimbursed |
| ||||||||||||||||||
|
U.S. Government Money
Market Fund1
|
| | | $ | 1,094,819 | | | | | $ | 155,911 | | | | | $ | — | | | | | $ | 312,805 | | | | | $ | — | | | | | $ | (1,404,777) | | |
|
Inflation-Protected and
Income Fund
|
| | | | 1,415,825 | | | | | | 297,836 | | | | | | — | | | | | | 300,407 | | | | | | 21,150 | | | | | | — | | |
|
Core Bond Fund |
| | | | 4,857,081 | | | | | | 1,272,101 | | | | | | — | | | | | | 816,098 | | | | | | 60,700 | | | | | | — | | |
|
Diversified Bond Fund |
| | | | 831,304 | | | | | | 224,424 | | | | | | — | | | | | | 180,354 | | | | | | 12,826 | | | | | | — | | |
|
Balanced Fund |
| | | | 740,458 | | | | | | 193,464 | | | | | | — | | | | | | 177,778 | | | | | | 13,745 | | | | | | — | | |
|
Disciplined Value Fund |
| | | | 433,001 | | | | | | 154,218 | | | | | | — | | | | | | 103,021 | | | | | | 5,519 | | | | | | — | | |
|
Main Street Fund |
| | | | 665,817 | | | | | | 302,457 | | | | | | — | | | | | | 158,147 | | | | | | 12,793 | | | | | | — | | |
|
Disciplined Growth Fund |
| | | | 1,161,514 | | | | | | 415,021 | | | | | | — | | | | | | 379,870 | | | | | | 28,139 | | | | | | — | | |
|
Small Cap Opportunities Fund
|
| | | | 1,876,820 | | | | | | 1,308,490 | | | | | | — | | | | | | 433,945 | | | | | | 28,556 | | | | | | — | | |
|
Global Fund |
| | | | 2,715,742 | | | | | | 1,309,024 | | | | | | — | | | | | | 482,317 | | | | | | 41,886 | | | | | | — | | |
|
International Equity Fund 2
|
| | | | 1,457,862 | | | | | | 608,191 | | | | | | (47,899) | | | | | | 126,065 | | | | | | 9,066 | | | | | | — | | |
|
Strategic Emerging Markets
Fund 3
|
| | | | 1,888,082 | | | | | | 1,320,436 | | | | | | — | | | | | | 20,674 | | | | | | 1,561 | | | | | | (136,442) | | |
| | | |
Fiscal Year Ended
September 30, 2020 |
| |||||||||||||||||||||||||||||||||
| | | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Supplemental Shareholder Services Fees Paid |
| |
Other Expenses Reimbursed |
| ||||||||||||||||||
|
U.S. Government Money Market
Fund1
|
| | | $ | 1,094,806 | | | | | $ | 156,248 | | | | | $ | — | | | | | $ | 312,802 | | | | | $ | — | | | | | $ | (333,254) | | |
|
Inflation-Protected and Income
Fund |
| | | | 1,270,248 | | | | | | 269,098 | | | | | | — | | | | | | 220,973 | | | | | | 75,006 | | | | | | — | | |
|
Core Bond Fund |
| | | | 5,231,660 | | | | | | 1,371,958 | | | | | | — | | | | | | 688,358 | | | | | | 260,598 | | | | | | — | | |
|
Diversified Bond Fund |
| | | | 867,844 | | | | | | 237,364 | | | | | | — | | | | | | 206,011 | | | | | | 69,938 | | | | | | — | | |
|
Balanced Fund |
| | | | 613,765 | | | | | | 210,081 | | | | | | — | | | | | | 120,139 | | | | | | 50,927 | | | | | | — | | |
|
Disciplined Value Fund |
| | | | 420,224 | | | | | | 174,125 | | | | | | — | | | | | | 98,342 | | | | | | 22,999 | | | | | | — | | |
|
Main Street Fund |
| | | | 632,456 | | | | | | 313,143 | | | | | | — | | | | | | 112,668 | | | | | | 51,801 | | | | | | — | | |
|
Disciplined Growth Fund |
| | | | 1,107,759 | | | | | | 460,885 | | | | | | — | | | | | | 290,809 | | | | | | 112,341 | | | | | | — | | |
|
Small Cap Opportunities Fund
|
| | | | 1,278,272 | | | | | | 882,403 | | | | | | — | | | | | | 241,815 | | | | | | 105,155 | | | | | | — | | |
|
Global Fund |
| | | | 2,241,937 | | | | | | 1,097,254 | | | | | | — | | | | | | 300,145 | | | | | | 154,793 | | | | | | — | | |
|
International Equity Fund 2
|
| | | | 1,940,224 | | | | | | 1,002,960 | | | | | | (45,886) | | | | | | 139,998 | | | | | | 39,612 | | | | | | — | | |
|
Strategic Emerging Markets
Fund 3
|
| | | | 1,640,854 | | | | | | 1,149,927 | | | | | | — | | | | | | 13,964 | | | | | | 4,118 | | | | | | (192,545) | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
Inflation-Protected and Income Fund
|
| | | $ | 12,000 | | | | | $ | 28,052 | | | | | $ | 14,546 | | |
Core Bond Fund |
| | | | 12,170 | | | | | | 96,200 | | | | | | 1,354 | | |
Diversified Bond Fund |
| | | | 10,757 | | | | | | 18,530 | | | | | | 7,765 | | |
Balanced Fund |
| | | | 13,805 | | | | | | 42,408 | | | | | | 61,538 | | |
Disciplined Value Fund |
| | | | 4,659 | | | | | | 14,862 | | | | | | 22,488 | | |
Main Street Fund |
| | | | 19,045 | | | | | | 24,732 | | | | | | 4,896 | | |
Disciplined Growth Fund |
| | | | 22,535 | | | | | | 54,284 | | | | | | 24,226 | | |
Small Cap Opportunities Fund
|
| | | | 35,554 | | | | | | 122,098 | | | | | | 42,960 | | |
Global Fund |
| | | | 31,303 | | | | | | 35,917 | | | | | | 55,436 | | |
International Equity Fund |
| | | | 2,831 | | | | | | 28,473 | | | | | | 11,387 | | |
Strategic Emerging Markets Fund
|
| | | | 950 | | | | | | 1,200 | | | | | | 4,572 | | |
| | | | $ | 165,609 | | | | | $ | 466,756 | | | | | $ | 251,168 | | |
| | |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |
Fiscal Year ended September 30, 2020 |
| |||||||||
Inflation-Protected and Income Fund
|
| | | $ | 12,038 | | | | | $ | 9,089 | | | | | $ | 11,079 | | |
Core Bond Fund |
| | | $ | 44,041 | | | | | $ | 57,254 | | | | | $ | 63,866 | | |
Diversified Bond Fund |
| | | $ | 10,950 | | | | | $ | 10,340 | | | | | $ | 10,683 | | |
Balanced Fund |
| | | $ | 8,872 | | | | | $ | 49,757 | | | | | $ | 7,569 | | |
Disciplined Value Fund |
| | | $ | 8,738 | | | | | $ | 46,898 | | | | | $ | 18,790 | | |
Main Street Fund |
| | | $ | 28,310 | | | | | $ | 35,511 | | | | | $ | 36,111 | | |
Disciplined Growth Fund |
| | | $ | 20,220 | | | | | $ | 38,403 | | | | | $ | 25,047 | | |
Small Cap Opportunities Fund
|
| | | $ | 207,614 | | | | | $ | 180,932 | | | | | $ | 166,471 | | |
Global Fund |
| | | $ | 48,490 | | | | | $ | 42,261 | | | | | $ | 59,894 | | |
International Equity Fund |
| | | $ | 28,751 | | | | | $ | 54,015 | | | | | $ | 350,049 | | |
Strategic Emerging Markets Fund
|
| | | $ | 168,689 | | | | | $ | 197,941 | | | | | $ | 228,497 | | |
| | |
Fiscal Year ended
September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |
Fiscal Year ended September 30, 2020 |
| |||||||||||||||||||||
Affiliated Broker/Dealer |
| |
Aggregate Commissions Paid |
| |
Percentage Paid to Affiliates |
| |
Percentage of Dollar Amount of Transactions Involving Payment of Commissions to Affiliates |
| |
Aggregate Commissions Paid |
| |
Aggregate Commissions Paid |
| |||||||||||||||
Jefferies LLC | | ||||||||||||||||||||||||||||||
Disciplined Value Fund 1
|
| | | $ | — | | | | | | —% | | | | | | —% | | | | | $ | 6,067 | | | | | $ | — | | |
Main
Street Fund 1
|
| | | $ | 73 | | | | | | 0.26% | | | | | | 0.08% | | | | | $ | 925 | | | | | $ | 373 | | |
Small
Cap Opportunities Fund 1
|
| | | $ | 4,291 | | | | | | 2.07% | | | | | | 0.32% | | | | | $ | 3,908 | | | | | $ | 28,897 | | |
Global Fund 1
|
| | | $ | 2,967 | | | | | | 6.12% | | | | | | 2.50% | | | | | $ | 2,301 | | | | | $ | 3,212 | | |
International Equity Fund 1
|
| | | $ | 31 | | | | | | 0.11% | | | | | | —% | | | | | $ | — | | | | | $ | 10,501 | | |
| | |
Fiscal Year ended
September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |
Fiscal Year ended September 30, 2020 |
| |||||||||||||||||||||
Affiliated Broker/Dealer |
| |
Aggregate Commissions Paid |
| |
Percentage Paid to Affiliates |
| |
Percentage of Dollar Amount of Transactions Involving Payment of Commissions to Affiliates |
| |
Aggregate Commissions Paid |
| |
Aggregate Commissions Paid |
| |||||||||||||||
Strategic Emerging Markets
Fund 1
|
| | | $ | 9,198 | | | | | | 5.45% | | | | | | 0.56% | | | | | $ | 7,131 | | | | | $ | 28,033 | | |
| | |
Dollar Value of Those Transactions |
| |
Amount of Commissions |
| ||||||
Disciplined Value Fund |
| | | $ | 58,400,977 | | | | | $ | 1,090 | | |
Main Street Fund |
| | | $ | 105,892,892 | | | | | $ | 25,547 | | |
Disciplined Growth Fund |
| | | $ | 263,202,920 | | | | | $ | 3,783 | | |
Small Cap Opportunities Fund
|
| | | $ | 224,723,337 | | | | | $ | 186,950 | | |
Global Fund |
| | | $ | 100,269,669 | | | | | $ | 43,499 | | |
International Equity Fund |
| | | $ | 60,498,439 | | | | | $ | 11,057 | | |
Strategic Emerging Markets Fund
|
| | | $ | 141,211,233 | | | | | $ | 157,468 | | |
Fund
|
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
U.S. Government Money
Market
Fund |
| | HSBC Securities, Inc. | | | | $ | 30,000,000 | | |
| | | | | | | $ | 30,000,000 | | |
Core Bond Fund |
| | Bank of America Corp. | | | | $ | 6,869,520 | | |
| | | Barclays plc | | | | | 3,607,389 | | |
| | | HSBC Securities, Inc. | | | | | 3,052,016 | | |
| | | Morgan Stanley | | | | | 2,902,199 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,789,068 | | |
| | | Citigroup, Inc. | | | | | 2,354,840 | | |
| | | JPMorgan Chase & Co. | | | | | 2,230,574 | | |
| | | | | | | $ | 23,805,606 | | |
Diversified Bond Fund |
| | Bank of America Corp. | | | | $ | 1,149,073 | | |
| | | Barclays plc | | | | | 874,655 | | |
| | | Morgan Stanley | | | | | 582,543 | | |
| | | HSBC Securities, Inc. | | | | | 536,159 | | |
| | | Citigroup, Inc. | | | | | 423,399 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 405,315 | | |
| | | JPMorgan Chase & Co. | | | | | 327,878 | | |
| | | | | | | $ | 4,299,022 | | |
Balanced Fund |
| | The Goldman Sachs Group, Inc. | | | | $ | 818,528 | | |
Fund
|
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
| | | Bank of America Corp. | | | | | 563,208 | | |
| | | Morgan Stanley | | | | | 496,627 | | |
| | | JPMorgan Chase & Co. | | | | | 318,142 | | |
| | | Citigroup, Inc. | | | | | 257,805 | | |
| | | State Street Corp. | | | | | 31,439 | | |
| | | | | | | $ | 2,485,749 | | |
Disciplined Value Fund |
| | JPMorgan Chase & Co. | | | | $ | 1,686,212 | | |
| | | Citigroup, Inc. | | | | | 888,404 | | |
| | | | | | | $ | 2,574,616 | | |
Main Street Fund |
| | JPMorgan Chase & Co. | | | | $ | 1,489,334 | | |
| | | | | | | $ | 1,489,334 | | |
International Equity Fund |
| | UBS AG | | | | $ | 475,272 | | |
| | | | | | | $ | 475,272 | | |
|
|
FUND
|
| |
Gross income earned by the Fund from securities lending activities |
| |
Fees paid to securities lending agent from a revenue split |
| |
Fees paid for any cash collateral management service (including fees deducted from a pooled cash collateral reinvestment vehicle) that are not included in a revenue split |
| |
Administrative fees not included in a revenue split |
| |
Indemnification fees not included in a revenue split |
| |
Rebate (paid to borrower) |
| |
Other fees not included in a revenue split, if applicable, including a description of those other fees |
| |
Aggregate fees/ compensation paid by the Fund for securities lending activities |
| |
Net income from securities lending activities |
| |||||||||||||||||||||||||||
|
Inflation-Protected
and Income Fund |
| | | $ | 6,050 | | | | | $ | 257 | | | | | $ | 173 | | | | | $ | — | | | | | $ | — | | | | | $ | 4,160 | | | | | $ | — | | | | | $ | 4,591 | | | | | $ | 1,459 | | |
|
Core
Bond Fund |
| | | $ | 26,770 | | | | | $ | 1,819 | | | | | $ | 1,057 | | | | | $ | — | | | | | $ | — | | | | | $ | 13,586 | | | | | $ | — | | | | | $ | 16,463 | | | | | $ | 10,307 | | |
|
Diversified Bond
Fund |
| | | $ | 27,134 | | | | | $ | 2,711 | | | | | $ | 899 | | | | | $ | — | | | | | $ | — | | | | | $ | 8,159 | | | | | $ | — | | | | | $ | 11,769 | | | | | $ | 15,365 | | |
|
Balanced Fund |
| | | $ | 15,420 | | | | | $ | 1,511 | | | | | $ | 618 | | | | | $ | — | | | | | $ | — | | | | | $ | 4,728 | | | | | $ | — | | | | | $ | 6,856 | | | | | $ | 8,564 | | |
|
Disciplined Value
Fund |
| | | $ | 1,810 | | | | | $ | 209 | | | | | $ | 23 | | | | | $ | — | | | | | $ | — | | | | | $ | 394 | | | | | $ | — | | | | | $ | 626 | | | | | $ | 1,184 | | |
|
Main
Street Fund |
| | | $ | 8,451 | | | | | $ | 1,264 | | | | | $ | 24 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 1,288 | | | | | $ | 7,163 | | |
|
Disciplined
Growth Fund |
| | | $ | 10,021 | | | | | $ | 1,147 | | | | | $ | 87 | | | | | $ | — | | | | | $ | — | | | | | $ | 2,290 | | | | | $ | — | | | | | $ | 3,524 | | | | | $ | 6,497 | | |
|
Small Cap
Opportunities Fund
|
| | | $ | 28,355 | | | | | $ | 2,594 | | | | | $ | 533 | | | | | $ | — | | | | | $ | — | | | | | $ | 10,525 | | | | | $ | — | | | | | $ | 13,653 | | | | | $ | 14,702 | | |
|
Global Fund |
| | | $ | 17,923 | | | | | $ | 1,583 | | | | | $ | 696 | | | | | $ | — | | | | | $ | — | | | | | $ | 6,671 | | | | | $ | — | | | | | $ | 8,950 | | | | | $ | 8,973 | | |
|
International
Equity Fund |
| | | $ | 32,128 | | | | | $ | 3,836 | | | | | $ | 495 | | | | | $ | — | | | | | $ | — | | | | | $ | 6,056 | | | | | $ | — | | | | | $ | 10,388 | | | | | $ | 21,740 | | |
|
Strategic
Emerging Markets Fund |
| | | $ | 21,852 | | | | | $ | 2,546 | | | | | $ | 144 | | | | | $ | — | | | | | $ | — | | | | | $ | 4,732 | | | | | $ | — | | | | | $ | 7,423 | | | | | $ | 14,429 | | |
|
Description/Requirement |
| |
Barings
Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| The Compliance review and any approvals needed by GCC of Policy, proxy activity, and approval of Proxy Voting Forms | | | Compliance and GCC meeting materials | | | Proxy Voting Team and Compliance | | | GCC Representative | | |
7 Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy statements, research, recommendations, and records of votes cast | | | Proxy Records | | | Service Provider or Proxy Voting Team | | | Service Provider or Proxy Voting Team | | |
7 Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Proxy Voting Forms (including supporting documentation used in deciding how to vote) | | | Proxy Voting Forms | | | Proxy Voting Team and/or Proxy Analyst | | |
Proxy Voting Team |
| |
7 Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
| Client written requests for proxy voting information and responses thereto | | | Client Proxy Requests | | | Proxy Voting Team | | |
Proxy Voting Team |
| |
7 Years |
| | Barings Policy Requirement and Investment Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers | |
|
Description/Requirement |
| |
Barings
Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| Form N-PX, for proxies voted on behalf of an investment company for which Barings serves as investment adviser and is responsible for making such filing on behalf of its Clients | | | Form N-PX | | | Proxy Voting Team | | |
Proxy Voting Team |
| |
7 Years |
| | Barings
Policy requirement and Investment Advisers Act of 1940, Rule 206(4)‑6 for
Barings US regulated Advisers Rule 30b1‑4 |
|
| The Proxy Voting Policy, associated procedures and any amendments thereto | | |
Proxy Voting Policy |
| | Compliance Department | | | Compliance Department | | |
7 Years |
| |
Barings Policy requirement |
|
| A copy of the Research Provider’s proxy voting guidelines | | | Research Provider’s Proxy Voting Guidelines | | | Research Provider | | |
Proxy Voting Team |
| |
7 Years |
| |
Barings Policy requirement |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Adam Cash | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$467
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$5,144 million |
| | | | 0 | | | |
$0 |
|
| Scott Simler | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$467
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 15 | | | |
$11,321 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,450 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$561
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 30 | | | |
$20,680 million |
| | | | 0 | | | |
$0 |
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,450 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$191
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 31 | | | |
$20,435 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,024 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$561
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 30 | | | |
$20,680 million |
| | | | 0 | | | |
$0 |
|
| Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,524 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$370
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 15 | | | |
$26,361 million |
| | | | 0 | | | |
$0 |
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$1,524 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$370
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 49 | | | |
$62,921 million |
| | | | 0 | | | |
$0 |
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,024 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$191
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 31 | | | |
$20,435 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Yulia Alekseeva | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,588 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$561
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 30 | | | |
$20,680 million |
| | | | 0 | | | |
$0 |
|
| Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$2,088 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$370
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 15 | | | |
$26,361 million |
| | | | 0 | | | |
$0 |
|
| Charles Sanford | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$2,088 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$370
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 49 | | | |
$62,921 million |
| | | | 0 | | | |
$0 |
|
| Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$2,588 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$191
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 31 | | | |
$20,435 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Jacob Borbidge | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 35 | | | |
$6,689.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$26.6
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 16,261*** | | | |
$1,092.1 million |
| | | | 0 | | | |
$0 |
|
| Matt Brill | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 7 | | | |
$11,513.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 19 | | | |
$5,171.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Pratik Doshi | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 166 | | | |
$123,357.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 106 | | | |
$160,332.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 43 | | | |
$36,202.0 million |
| | | | 0 | | | |
$0 |
|
| Peter Hubbard | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 231 | | | |
$165,984.0 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 123 | | | |
$196,116.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 43 | | | |
$36,202.0 million |
| | | | 0 | | | |
$0 |
|
| Michael D. Hyman | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$11,672.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 21 | | | |
$5,117.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Michael Jeanette | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 171 | | | |
$123,543.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 106 | | | |
$160,332.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 43 | | | |
$36,202.0 million |
| | | | 0 | | | |
$0 |
|
| Duy Nguyen | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 36 | | | |
$9,774,2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 13 | | | |
$462.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 16,261*** | | | |
$1,092.1 million |
| | | | 0 | | | |
$0 |
|
| Todd Schomberg | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$10,742.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 18 | | | |
$4,643.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Tony Seisser | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 167 | | | |
$123,452.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 106 | | | |
$160,332.1 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
|
Other
accounts |
| | | | 43 | | | |
$36,202.0 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Manind Govil | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$15,111.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$236.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6*** | | | |
$1.0
million |
| | | | 0 | | | |
$0 |
|
| Benjamin Ram | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$12,498.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$236.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6*** | | | |
$1.0
million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Joy Budzinski | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$5,525.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$87.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 45*** | | | |
$10.2
million |
| | | | 0 | | | |
$0 |
|
| Magnus Krantz | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 7 | | | |
$5,684.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$87.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 45*** | | | |
$10.2
million |
| | | | 0 | | | |
$0 |
|
| Raman Vardharaj | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 7 | | | |
$6,954.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$87.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 45*** | | | |
$10.2
million |
| | | | 0 | | | |
$0 |
|
| Adam Weiner | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$4,508.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$87.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 81*** | | | |
$40.0
million |
| | | | 0 | | | |
$0 |
|
| Matthew P. Ziehl | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$4,508.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$87.0
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 81*** | | | |
$40.0
million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John Delano | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 10 | | | |
$13,866.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$309.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5*** | | | |
$110.2 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Justin Leverenz | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$25,569.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 10 | | | |
$2,892.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Sub-Adviser |
| |
Performance time
period 1 |
|
|
Invesco Advisers 2
|
| | One-, Three- and Five-year performance against fund peer group. | |
| ICM 2, 3 | | | Not applicable | |
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Brandon H. Harrell | | ||||||||||||
Registered investment companies** |
| |
6 |
| |
$6,369.8 million |
| |
0 |
| |
$0 |
|
Other pooled investment vehicles |
| |
5 |
| |
$1,813.0 million |
| |
0 |
| |
$0 |
|
Other accounts |
| |
12 |
| |
$2,754.5 million |
| |
0 |
| |
$0 |
|
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Matt J. Kyller | | | | | | | | | | | | | |
Registered investment companies** |
| |
6 |
| |
$634,863,398 |
| |
0 |
| |
$0 |
|
Other pooled investment vehicles |
| |
7 |
| |
$79,366,992 |
| |
0 |
| |
$0 |
|
Other accounts |
| |
2 |
| |
$477,278,580 |
| |
0 |
| |
$0 |
|
Tom S. Simon | | | | | | | | | | | | | |
Registered investment companies** |
| |
9 |
| |
$9,928,650,719 |
| |
0 |
| |
$0 |
|
Other pooled investment vehicles |
| |
7 |
| |
$140,071,846 |
| |
0 |
| |
$0 |
|
Other accounts |
| |
4 |
| |
$1,625,407,263 |
| |
0 |
| |
$0 |
|
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Matt J. Kyller | | | | | | | | | | | | | |
Registered investment companies** |
| |
6 |
| |
$547,317,316 |
| |
0 |
| |
$0 |
|
Other pooled investment vehicles |
| |
7 |
| |
$79,366,992 |
| |
0 |
| |
$0 |
|
Other accounts |
| |
2 |
| |
$477,278,580 |
| |
0 |
| |
$0 |
|
Tom S. Simon | | | | | | | | | | | | | |
Registered investment companies** |
| |
9 |
| |
$9,841,104,637 |
| |
0 |
| |
$0 |
|
Other pooled investment vehicles |
| |
7 |
| |
$140,071,846 |
| |
0 |
| |
$0 |
|
Other accounts |
| |
4 |
| |
$1,625,407,263 |
| |
0 |
| |
$0 |
|
| | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
|
Peter C. Fisher | | ||||||||||||
Registered investment companies** |
| |
7 |
| |
$51,609,906,370 |
| |
2 |
| |
$47,832,999,381 |
|
Other pooled investment vehicles |
| |
5 |
| |
$499,093,569 |
| |
1 |
| |
$52,807,345 |
|
Other accounts |
| |
4 |
| |
$374,497,863 |
| |
0 |
| |
$0 |
|
Fund |
| |
Benchmark and/or Peer
Group |
|
International Equity Fund |
| | MSCI EAFE Index | |