PGIM
FLOATING RATE INCOME FUND | ||||||||
A:
FRFAX |
C:
FRFCX |
Z:
FRFZX |
R6:
PFRIX |
|
|
|
|
|
Term |
Definition |
1933
Act |
Securities
Act of 1933, as amended |
1934
Act |
Securities
Exchange Act of 1934, as amended |
1940
Act |
Investment
Company Act of 1940, as amended |
1940 Act
Laws, Interpretations and Exemptions |
Exemptive
order, SEC release, no-action letter or similar relief or interpretations,
collectively |
ADR |
American
Depositary Receipt |
ADS |
American
Depositary Share |
Board |
Fund’s Board
of Directors or Trustees |
Board
Member |
A trustee or
director of the Fund’s Board |
CEA |
Commodity
Exchange Act, as amended |
CFTC |
U.S.
Commodity Futures Trading Commission |
Code |
Internal
Revenue Code of 1986, as amended |
CMO |
Collateralized
Mortgage Obligation |
ETF |
Exchange-Traded
Fund |
EDR |
European
Depositary Receipt |
Exchange |
NYSE Arca,
Inc. |
Fannie
Mae |
Federal
National Mortgage Association |
FDIC |
Federal
Deposit Insurance Corporation |
Fitch |
Fitch
Ratings, Inc. |
Freddie
Mac |
Federal Home
Loan Mortgage Corporation |
GDR |
Global
Depositary Receipt |
Ginnie
Mae |
Government
National Mortgage Association |
IPO |
Initial
Public Offering |
IRS |
Internal
Revenue Service |
LIBOR |
London
Interbank Offered Rate |
Manager or
PGIM Investments |
PGIM
Investments LLC |
Moody’s |
Moody’s
Investors Service, Inc. |
NASDAQ |
National
Association of Securities Dealers Automated
Quotations |
NAV |
Net Asset
Value |
NRSRO |
Nationally
Recognized Statistical Rating Organization |
NYSE |
New York
Stock Exchange |
OTC |
Over the
Counter |
Prudential |
Prudential
Financial, Inc. |
PMFS |
Prudential
Mutual Fund Services LLC |
QPTP |
“Qualified
publicly traded partnership” as the term is used in the Internal Revenue
Code of 1986, as amended |
REIT |
Real Estate
Investment Trust
|
Term |
Definition |
RIC |
Regulated
Investment Company, as the term is used in the Internal Revenue Code of
1986, as amended |
S&P |
S&P
Global Ratings |
SEC |
U.S.
Securities and Exchange Commission |
World
Bank |
International
Bank for Reconstruction and
Development |
Independent
Board Members |
|
| |
Name
Year
of Birth
Position(s)
Portfolios
Overseen |
Principal
Occupation(s)
During
Past Five Years |
Other
Directorships
Held
During
Past
Five Years |
Length
of
Board
Service |
Ellen S.
Alberding
1958
Board
Member
Portfolios
Overseen: 95 |
President
and Board Member, The Joyce
Foundation
(charitable foundation) (since
2002);
formerly Vice Chair, City Colleges of
Chicago
(community college system)
(2011-2015);
Trustee, National Park Foundation
(charitable
foundation for national park system)
(2009-2018);
Trustee, Economic Club of
Chicago
(2009-2016); Trustee, Loyola University
(since
2018). |
None. |
Since
September 2013 |
Kevin J.
Bannon
1952
Board
Member
Portfolios
Overseen: 95 |
Retired;
formerly Managing Director (April
2008-May
2015) and Chief Investment Officer
(October
2008-November 2013) of Highmount
Capital LLC
(registered investment adviser);
formerly
Executive Vice President and Chief
Investment
Officer (April 1993-August 2007) of
Bank of New
York Company; President (May
2003-May
2007) of BNY Hamilton Family of
Mutual
Funds. |
Director of
Urstadt Biddle Properties (equity real
estate
investment trust) (since September
2008). |
Since July
2008 |
Linda W.
Bynoe
1952
Board
Member
Portfolios
Overseen: 92 |
President
and Chief Executive Officer (since
March 1995)
and formerly Chief Operating
Officer
(December 1989-February 1995) of
Telemat
Limited LLC
(formerly
Telemat
Ltd)
(management
consulting); formerly Vice
President
(January 1985-June 1989) at Morgan
Stanley
& Co. (broker-dealer). |
Trustee of
Equity Residential (residential real
estate)
(since December 2009); Director of
Northern
Trust Corporation (financial services)
(since
April 2006); formerly Director of Anixter
International,
Inc. (communication products
distributor)
(January 2006-June 2020). |
Since March
2005 |
Barry H.
Evans
1960
Board
Member
Portfolios
Overseen: 94 |
Retired;
formerly President (2005-2016), Global
Chief
Operating Officer (2014-2016), Chief
Investment
Officer - Global Head of Fixed
Income
(1998-2014), and various portfolio
manager
roles (1986-2006), Manulife Asset
Management
(asset management). |
Formerly
Director, Manulife Trust Company
(2011-2018);
formerly Director, Manulife Asset
Management
Limited (2015-2017); formerly
Chairman of
the Board of Directors of Manulife
Asset
Management U.S. (2005-2016); formerly
Chairman of
the Board, Declaration Investment
Management
and Research (2008-2016). |
Since
September 2017 |
Keith F.
Hartstein
1956
Board
Member &
Independent
Chair
Portfolios
Overseen: 95 |
Retired;
Member (since November 2014) of the
Governing
Council of the Independent Directors
Council
(IDC) (organization of independent
mutual fund
directors); formerly Executive
Committee
of the IDC Board of Governors
(October
2019-December 2021); formerly
President
and Chief Executive Officer
(2005-2012),
Senior Vice President
(2004-2005),
Senior Vice President of Sales and
Marketing
(1997-2004), and various executive
management
positions (1990-1997), John
Hancock
Funds, LLC (asset management);
Chairman,
Investment Company Institute’s
Sales Force
Marketing Committee (2003-2008). |
None. |
Since
September 2013 |
Laurie
Simon Hodrick
1962
Board
Member
Portfolios
Overseen: 91 |
A. Barton
Hepburn Professor Emerita of
Economics
in the Faculty of Business, Columbia
Business
School (since 2018); Visiting Fellow at
the Hoover
Institution, Stanford University
(since
2015); Sole Member, ReidCourt LLC
(since
2008) (a consulting firm); formerly
Visiting
Professor of Law, Stanford Law School
(2015-2021);
formerly A. Barton Hepburn
Professor
of Economics in the Faculty of
Business,
Columbia Business School
(1996-2017);
formerly Managing Director,
Global Head
of Alternative Investment
Strategies,
Deutsche Bank (2006-2008). |
Independent
Director, Andela (since January
2022)
(global talent network); Independent
Director,
Roku (since December 2020)
(communication
services); formerly Independent
Director,
Synnex Corporation (2019-2021)
(information
technology); formerly Independent
Director,
Kabbage, Inc. (2018-2020) (financial
services);
formerly Independent Director,
Corporate
Capital Trust (2017-2018) (a
business
development company). |
Since
September 2017 |
Independent
Board Members |
|
| |
Name
Year
of Birth
Position(s)
Portfolios
Overseen |
Principal
Occupation(s)
During
Past Five Years |
Other
Directorships
Held
During
Past
Five Years |
Length
of
Board
Service |
Brian K.
Reid
1961
Board
Member
Portfolios
Overseen: 94 |
Retired;
formerly Chief Economist for the
Investment
Company Institute (ICI)
(2005-2017);
formerly Senior Economist and
Director of
Industry and Financial Analysis at
the ICI
(1998-2004); formerly Senior Economist,
Industry
and Financial Analysis at the ICI
(1996-1998);
formerly Staff Economist at the
Federal
Reserve Board (1989-1996); Director,
ICI Mutual
Insurance Company (2012-2017). |
None. |
Since March
2018 |
Grace C.
Torres
1959
Board
Member
Portfolios
Overseen: 94 |
Retired;
formerly Treasurer and Principal
Financial
and Accounting Officer of the PGIM
Funds,
Target Funds, Advanced Series Trust,
Prudential
Variable Contract Accounts and The
Prudential
Series Fund (1998-June 2014);
Assistant
Treasurer (March 1999-June 2014)
and Senior
Vice President (September
1999-June
2014) of PGIM Investments LLC;
Assistant
Treasurer (May 2003-June 2014) and
Vice
President (June 2005-June 2014) of AST
Investment
Services, Inc.; Senior Vice President
and
Assistant Treasurer (May 2003-June 2014)
of
Prudential Annuities Advisory Services, Inc. |
Director
(since January 2018) of OceanFirst
Financial
Corp. and OceanFirst Bank; formerly
Director
(July 2015-January 2018) of Sun
Bancorp,
Inc. N.A. and Sun National Bank. |
Since
November 2014 |
Interested
Board Members | |||
Name
Year
of Birth
Position(s)
Portfolios
Overseen |
Principal
Occupation(s)
During
Past Five Years |
Other
Directorships
Held
During
Past
Five Years |
Length
of
Board
Service |
Stuart S.
Parker
1962
Board
Member &
President
Portfolios
Overseen: 94 |
President,
Chief Executive Officer, Chief
Operating
Officer and Officer in Charge of PGIM
Investments
LLC (formerly known as Prudential
Investments
LLC) (since January 2012); formerly
Executive
Vice President of Jennison Associates
LLC and
Head of Retail Distribution of PGIM
Investments
LLC (June 2005-December 2011);
Investment
Company Institute - Board of
Governors
(since May 2012). |
None. |
Since
January 2012 |
Scott E.
Benjamin
1973
Board
Member & Vice
President
Portfolios
Overseen: 95 |
Executive
Vice President (since May 2009) of
PGIM
Investments LLC; Vice President (since
June 2012)
of Prudential Investment
Management
Services LLC; Executive Vice
President
(since September 2009) of AST
Investment
Services, Inc.; Senior Vice President
of Product
Development and Marketing, PGIM
Investments
(since February 2006); formerly
Vice
President of Product Development and
Product
Management, PGIM Investments LLC
(2003-2006). |
None. |
Since March
2010 |
Fund
Officers(a)
|
|
|
Name
Year
of Birth
Fund
Position |
Principal
Occupation(s) During Past Five Years |
Length
of
Service
as Fund Officer |
Claudia
DiGiacomo
1974
Chief Legal
Officer |
Chief Legal
Officer, Executive Vice President and Secretary of PGIM Investments LLC
(since August 2020); Chief
Legal
Officer of Prudential Mutual Fund Services LLC (since August 2020); Chief
Legal Officer of PIFM Holdco,
LLC (since
August 2020); Vice President and Corporate Counsel (since January 2005) of
Prudential; and
Corporate
Counsel of AST Investment Services, Inc. (since August 2020); formerly
Vice President and Assistant
Secretary
of PGIM Investments LLC (2005-2020); formerly Associate at Sidley Austin
Brown & Wood LLP
(1999-2004). |
Since
December 2005 |
Isabelle
Sajous
1976
Chief
Compliance Officer |
Chief
Compliance Officer (since April 2022) of PGIM Investments LLC, the PGIM
Funds, Target Funds, PGIM
Global High
Yield Fund, Inc., PGIM High Yield Bond Fund, Inc., PGIM Short Duration
High Yield Opportunities
Fund,
Advanced Series Trust, The Prudential Series Fund and Prudential’s
Gibraltar Fund, Inc.; Chief
Compliance
Officer (since March 2022) of the PGIM Private Real Estate Fund, Inc.;
Vice President, Compliance
of PGIM
Investments LLC (since December 2020); formerly Director, Compliance (July
2018-December 2020) of
Credit
Suisse Asset Management LLC; and Vice President, Associate General Counsel
& Deputy Chief
Compliance
Officer of Cramer Rosenthal McGlynn, LLC (August 2014-July
2018). |
Since April
2022 |
Andrew R.
French
1962
Secretary |
Vice
President (since December 2018) of PGIM Investments LLC; formerly Vice
President and Corporate Counsel
(2010-2018)
of Prudential; formerly Director and Corporate Counsel (2006-2010) of
Prudential; Vice President
and
Assistant Secretary (since January 2007) of PGIM Investments LLC; Vice
President and Assistant Secretary
(since
January 2007) of Prudential Mutual Fund Services
LLC. |
Since
October 2006 |
Diana N.
Huffman
1982
Assistant
Secretary |
Vice
President and Corporate Counsel (since September 2015) of Prudential; Vice
President and Assistant
Secretary
(since August 2020) of PGIM Investments LLC; formerly Associate at Willkie
Farr & Gallagher LLP
(2009-2015). |
Since March
2019 |
Melissa
Gonzalez
1980
Assistant
Secretary |
Vice
President and Corporate Counsel (since September 2018) of Prudential; Vice
President and Assistant
Secretary
(since August 2020) of PGIM Investments LLC; formerly Director and
Corporate Counsel (March
2014-September
2018) of Prudential. |
Since March
2020 |
Patrick E.
McGuinness
1986
Assistant
Secretary |
Vice
President and Assistant Secretary (since August 2020) of PGIM Investments
LLC; Director and Corporate
Counsel
(since February 2017) of Prudential. |
Since June
2020 |
Debra
Rubano
1975
Assistant
Secretary |
Vice
President and Corporate Counsel (since November 2020) of Prudential;
formerly Director and Senior
Counsel of
Allianz Global Investors U.S. Holdings LLC (2010-2020) and Assistant
Secretary of numerous funds
in the
Allianz fund complex (2015-2020). |
Since
December 2020 |
Kelly A.
Coyne
1968
Assistant
Secretary |
Director,
Investment Operations of Prudential Mutual Fund Services LLC (since
2010). |
Since March
2015 |
Christian
J. Kelly
1975
Treasurer
and Principal Financial
and
Accounting Officer |
Vice
President, Head of Fund Administration of PGIM Investments LLC (since
November 2018); formerly Director
of Fund
Administration of Lord Abbett & Co. LLC (2009-2018), Treasurer and
Principal Accounting Officer of
the Lord
Abbett Family of Funds (2017-2018); Director of Accounting, Avenue Capital
Group (2008-2009);
Senior
Manager, Investment Management Practice of Deloitte & Touche LLP
(1998-2007). |
Since
January 2019 |
Lana
Lomuti
1967
Assistant
Treasurer |
Vice
President (since 2007) and Director (2005-2007), within PGIM Investments
Fund Administration; formerly
Assistant
Treasurer (December 2007-February 2014) of The Greater China Fund,
Inc. |
Since April
2014 |
Russ
Shupak
1973
Assistant
Treasurer |
Vice
President (since 2017) and Director (2013-2017), within PGIM Investments
Fund Administration. |
Since
October 2019 |
Deborah
Conway
1969
Assistant
Treasurer |
Vice
President (since 2017) and Director (2007-2017), within PGIM Investments
Fund Administration. |
Since
October
2019 |
Elyse M.
McLaughlin
1974
Assistant
Treasurer |
Vice
President (since 2017) and Director (2011-2017), within PGIM Investments
Fund Administration. |
Since
October 2019 |
Jonathan
Corbett
1983
Anti-Money
Laundering Compliance
Officer |
Vice
President, Corporate Compliance, Global Compliance Programs and Compliance
Risk Management (since
August
2019) of Prudential; formerly Vice President and Head of Key Risk Areas
Compliance (March 2016 to
July 2019),
Chief Privacy Officer (March 2016 to July 2019) and Head of Global
Financial Crimes Unit (April
2014 to
March 2016) at MetLife. |
Since
October 2021 |
Name |
Aggregate
Fiscal Year
Compensation
from the Fund |
Pension or
Retirement Benefits
Accrued as
Part of Fund Expenses |
Estimated
Annual Benefits
Upon
Retirement |
Total
Compensation from Fund
and Fund
Complex for Most
Recent
Calendar Year |
Compensation
Received by Independent Board Members | ||||
Ellen S.
Alberding** |
$4,377 |
None |
None |
$332,000
(33/95)* |
Kevin J.
Bannon |
$4,100 |
None |
None |
$312,000
(33/95)* |
Linda W.
Bynoe |
$4,447 |
None |
None |
$332,000
(30/92)* |
Barry
Evans** |
$4,697 |
None |
None |
$341,500
(32/94)* |
Keith F.
Hartstein |
$5,440 |
None |
None |
$406,000
(33/95)* |
Laurie
Simon Hodrick** |
$4,270 |
None |
None |
$316,000
(29/91)* |
Brian
Reid |
$4,673 |
None |
None |
$330,500
(32/94)* |
Grace C.
Torres |
$4,767 |
None |
None |
$345,500
(32/94)* |
Board
Committee Meetings (for most recently completed fiscal
year) | |||
Audit
Committee |
Nominating
& Governance Committee |
Dryden &
Gibraltar Investment
Committees |
Compliance
Committee |
4 |
4 |
4 |
3 |
Name |
Dollar
Range of Equity
Securities
in the Fund |
Aggregate
Dollar Range of
Equity
Securities in All
Registered
Investment
Companies
Overseen by
Board
Member in Fund Complex |
Board
Member Share Ownership: Independent Board Members | ||
Ellen S.
Alberding |
None |
Over
$100,000 |
Kevin J.
Bannon |
Over
$100,000 |
Over
$100,000 |
Linda W.
Bynoe |
None |
Over
$100,000 |
Barry H.
Evans |
None |
Over
$100,000 |
Keith F.
Hartstein |
None |
Over
$100,000 |
Laurie
Simon Hodrick |
None |
Over
$100,000 |
Brian K.
Reid |
Over
$100,000 |
Over
$100,000 |
Grace C.
Torres |
None |
Over
$100,000 |
Board
Member Share Ownership: Interested Board Members | ||
Stuart S.
Parker |
None |
Over
$100,000 |
Scott E.
Benjamin |
None |
Over
$100,000 |
Management
Fees Paid by the Fund |
|
|
|
|
2022 |
2021 |
2020 |
Gross
Fee |
$14,217,222 |
$2,402,376 |
$4,770,784 |
Amount
Waived/Reimbursed by PGIM Investments* |
$(2,322,367) |
$(699,704) |
$(1,113,089) |
Net
Fee |
$11,894,855 |
$1,702,672 |
$3,657,695 |
Subadvisory
Fees Paid by PGIM Investments* | |||
|
2022 |
2021 |
2020 |
PGIM Fixed
Income/ PGIM Limited |
$7,358,611 |
$1,293,587 |
$2,568,891 |
Other
Funds and Investment Accounts Managed by the Portfolio
Managers | ||||
Subadviser |
Portfolio
Managers |
Registered
Investment
Companies/Total
Assets |
Other
Pooled
Investment
Vehicles/
Total
Assets |
Other
Accounts/
Total
Assets |
PGIM Fixed
Income/PGIM Limited* |
Robert
Cignarella, CFA |
11/$32,567,327,800 |
12/$8,930,887,206
1/$128,481,362 |
38/$14,756,315,781
3/$1,059,134,384 |
|
Brian
Juliano |
24/$16,849,400,359 |
57/$25,479,038,380
2/$314,970,669 |
112/$18,644,886,716
4/$160,710,301 |
|
Parag
Pandya, CFA |
23/$16,770,516,657 |
57/$25,479,038,380
2/$314,970,669 |
112/$18,644,886,716
4/$160,710,301 |
|
Ian F.
Johnston |
23/$16,770,516,657 |
57/$25,479,038,380
2/$314,970,669 |
112/$18,644,886,716
4/$160,710,301 |
|
Robert W.
Meyer, CFA |
23/$16,770,516,657 |
57/$25,479,038,380
2/$314,970,669 |
112/$18,644,886,716
4/$160,710,301 |
Personal
Investments and Financial Interests of the Portfolio
Managers | ||
Subadviser |
Portfolio
Managers |
Investments
and Other Financial Interests in the Fund and Similar
Strategies* |
PGIM Fixed
Income/PGIM Limited |
Robert
Cignarella, CFA |
None |
|
Brian
Juliano |
$500,001-$1,000,000 |
|
Parag
Pandya, CFA |
$10,001-$50,000 |
|
Ian F.
Johnston |
$50,001-$1,000,000 |
|
Robert W.
Meyer, CFA |
$10,001-$50,000 |
Securities
Lending Activities: | |
Gross
Income from securities lending activities |
$36,588
|
Securities
Lending Activities: | |
Fees and/or
compensation for securities lending activities and related
services |
|
Fees paid
to securities lending agent from a revenue split |
$(2,733) |
Fees paid
for any cash collateral management service (including fees deducted from a
pooled cash collateral investment vehicle) |
$(8,591) |
Administrative
fees not included in revenue split |
$— |
Indemnification
fee not included in revenue split |
$— |
Rebate
(paid to borrower) |
$(648) |
Other fees
not included in revenue split (specify) |
$— |
Aggregate
fees/compensation for securities lending activities |
$(11,972) |
Net Income
from securities lending activities |
$24,616 |
Fees
Paid to PMFS |
Amount |
PGIM
Floating Rate Income Fund |
$
49,295 |
Payments
Received by the Distributor | |
CLASS A
CONTINGENT DEFERRED SALES CHARGES (CDSC) |
$10,681 |
CLASS A
DISTRIBUTION AND SERVICE (12B-1) FEES |
$330,987 |
CLASS A
INITIAL SALES CHARGES |
$373,757 |
CLASS C
CONTINGENT DEFERRED SALES CHARGES (CDSC) |
$7,687 |
CLASS C
DISTRIBUTION AND SERVICE (12B-1) FEES |
$454,319 |
Amounts
Spent by the Distributor | ||||
Share
Class |
Printing
& Mailing of
Prospectuses
to Other than
Current
Shareholders |
Compensation
to Broker/Dealers for
Commissions
to Representatives and
Other
Expenses* |
Overhead
Costs** |
Total
Amount
Spent
by Distributor |
CLASS
A |
- |
$196,804 |
$135,025 |
$331,829 |
CLASS
C |
- |
$567,108 |
$13,140 |
$580,248 |
Offering
Price Per Share | |
|
|
Class
A |
|
NAV and
redemption price per Class A share |
$9.51 |
Maximum
initial sales charge (2.25% of the public offering
price) |
$0.22 |
Maximum
offering price to public |
$9.73 |
Class
C |
|
NAV and
redemption price per Class C share |
$9.52 |
Class
Z |
|
NAV and
redemption price per Class Z share |
$9.52 |
Class
R6 |
|
NAV and
redemption price per Class R6 share |
$9.53 |
Brokerage
Commissions Paid by the Fund | |||
|
2022 |
2021 |
2020 |
Total
brokerage commissions paid by the Fund |
$22,025 |
$6,937 |
$0 |
Total
brokerage commissions paid to affiliated brokers |
None |
None |
None |
Percentage
of total brokerage commissions paid to affiliated
brokers |
N/A |
N/A |
N/A |
Percentage
of the aggregate dollar amount of portfolio transactions involving the
payment of commissions to affiliated brokers |
N/A |
N/A |
N/A |
Broker-Dealer
Securities Holdings | ||
|
Equity or
Debt |
Amount |
BOFA
SECURITIES, INC. |
Debt |
$66,212,351 |
CITIGROUP
GLOBAL MARKETS, INC. |
Debt |
$72,995,890 |
GOLDMAN
SACHS & CO. LLC |
Debt |
$28,338,265 |
JPMORGAN
CHASE & CO. |
Debt |
$94,251,654 |
Portfolio
Turnover Rate |
|
|
Fund
Name |
2022 |
2021 |
PGIM
Floating Rate Income Fund |
43% |
125% |
Principal
Fund Shareholders as of April 6, 2022 | |||
Fund
Name and Share Class |
Shareholder
Name and Address |
No.
of Shares |
%
of Class |
Floating
Rate Income Fund - Class A |
Morgan
Stanley Smith Barney LLC
For the
Exclusive Benefit of its Customers
1 New York
Plaza FL 12
New York,
NY 10004-1901 |
5,529,862.909 |
23.05% |
|
National
Financial Services LLC
For
Exclusive Benefit of our Customers
Attn:
Mutual Funds Dept – 4th
Floor
499
Washington Blvd
Jersey
City, NJ 07310 |
4,510,724.722 |
18.80% |
|
Wells Fargo
Clearing Svcs LLC
Special
Custody Acct for the Exclusive of Customer
2801 Market
St
Saint
Louis, MO 63103-2523 |
2,849,700.733 |
11.88% |
|
Edward D.
Jones & Co
Attn:
Mutual Fund Shareholder Accounting
201
Progress Pkwy
Maryland
Hts, MO 63043-3003 |
2,413,825.707 |
10.06% |
|
Pershing
LLC
1 Pershing
Plaza
Jersey
City, NJ 07399-0002 |
1,690,559.672 |
7.05%
|
Principal
Fund Shareholders as of April 6, 2022 | |||
Fund
Name and Share Class |
Shareholder
Name and Address |
No.
of Shares |
%
of Class |
|
TD
Ameritrade Inc. FBO
Our
Customers
PO BOX
2226
Omaha, NE
68103-2226 |
1,678,841.349 |
7.00% |
Floating
Rate Income Fund - Class C |
Wells Fargo
Clearing Svcs LLC
Special
Custody Acct for the Exclusive of Customer
2801 Market
St
Saint
Louis, MO 63103-2523 |
1,897,988.484 |
23.82% |
|
Morgan
Stanley Smith Barney LLC
For the
Exclusive Benefit of its Customers
1 New York
Plaza FL 12
New York,
NY 10004-1901 |
1,501,728.259 |
18.85% |
|
National
Financial Services LLC
For
Exclusive Benefit of our Customers
Attn:
Mutual Funds Dept – 4th
Floor
499
Washington Blvd
Jersey
City, NJ 07310 |
1,096,245.034 |
13.76% |
|
Charles
Schwab Co
211 Main
ST
San
Francisco, CA 94105-1901 |
615,371.402 |
7.72% |
|
American
Enterprise Investment SVC
707
2nd Ave
South
Minneapolis,
MN 55402-2405 |
593,391.532 |
7.45% |
|
Pershing
LLC
1 Pershing
Plaza
Jersey
City, NJ 07399-0002 |
540,932.295 |
6.79% |
|
Raymond
James
Omnibus for
Mutual Funds
Attn:
Courtney Waller
880
Carillon Parkway
ST
Petersburg, FL 33716 |
514,453.629 |
6.46% |
|
LPL
Financial
4707
Executive Drive
San Diego,
CA 92121-3091 |
490,159.972 |
6.15% |
Floating
Rate Income Fund - Class Z |
Charles
Schwab Co
211 Main
ST
San
Francisco, CA 94105-1901 |
119,286,573.147 |
27.83% |
|
UBS WM
USA
SPEC CDY
A/C EXL BEN Customers
OF
UBSFSI
1000 Harbor
Blvd
Weehawken,
NJ 07086 |
47,010,639.046 |
10.97% |
|
American
Enterprise Investment SVC
707
2nd Ave
South
Minneapolis,
MN 55402-2405 |
45,137,191.777 |
10.53% |
|
Morgan
Stanley Smith Barney LLC
For the
Exclusive Benefit of its Customers
1 New York
Plaza FL 12
New York,
NY 10004-1901 |
45,054,464.410 |
10.51% |
|
National
Financial Services LLC
For
Exclusive Benefit of our Customers
Attn:
Mutual Funds Dept – 4th
Floor
499
Washington Blvd
Jersey
City, NJ 07310 |
40,303,973.759 |
9.40% |
|
LPL
Financial
4707
Executive Drive
San Diego,
CA 92121-3091 |
31,231,216.087 |
7.29%
|
Principal
Fund Shareholders as of April 6, 2022 | |||
Fund
Name and Share Class |
Shareholder
Name and Address |
No.
of Shares |
%
of Class |
|
Pershing
LLC
1 Pershing
Plaza
Jersey
City, NJ 07399-0002 |
27,781,522.314 |
6.48% |
|
Wells Fargo
Clearing Svcs LLC
Special
Custody Acct for the Exclusive of Customer
2801 Market
St
Saint
Louis, MO 63103-2523 |
25,841,187.582 |
6.03% |
Floating
Rate Income Fund - Class R6 |
Edward D.
Jones & Co
Attn:
Mutual Fund Shareholder Accounting
201
Progress Pkwy
Maryland
Hts, MO 63043-3003 |
16,070,086.299 |
35.32% |
|
National
Financial Services LLC
For
Exclusive Benefit of our Customers
Attn:
Mutual Funds Dept – 4th
Floor
499
Washington Blvd
Jersey
City, NJ 07310 |
10,440,094.365 |
22.95% |
|
Prudential
Life Insurance Company of Korea LTD
838
Yeoksam-Dong Prudential Tower
Kangnam-Gu
Seoul 135-982
Republic of
Korea |
7,840,575.445 |
17.23% |
|
Saxon &
Co
P.O. BOX
94597
Cleveland,
OH 44101 |
4,244,307.423 |
9.33% |
|
Prudential
Life Insurance Company of Korea LTD
838
Yeoksam-Dong Prudential Tower
Kangnam-Gu
Seoul 135-982
Republic of
Korea |
2,714,676.605 |
5.97% |