|
Fund Name |
| |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class
Y |
| ||||||||||||||||||||||||
|
MassMutual Total Return
Bond
Fund |
| | | | MSPZX | | | | | | MSPSX | | | | | | MSPHX | | | | | | MSPLX | | | | | | MSPGX | | | | | | MPTRX | | | | | | MSPNX | | | | | | MMNNX | | |
|
MassMutual Strategic Bond
Fund |
| | | | MSBZX | | | | | | MBSSX | | | | | | MBSYX | | | | | | MSBLX | | | | | | MSBRX | | | | | | MSBAX | | | | | | MSBNX | | | | | | MMNMX | | |
|
MassMutual Diversified
Value
Fund |
| | | | MDDIX | | | | | | MDVSX | | | | | | MDVYX | | | | | | MDDLX | | | | | | MDDRX | | | | | | MDDAX | | | | | | MDVNX | | | | | | MMNBX | | |
|
MassMutual Fundamental
Value
Fund |
| | | | MFUZX | | | | | | MVUSX | | | | | | MFUYX | | | | | | MFULX | | | | | | MFUFX | | | | | | MFUAX | | | | | | MFUNX | | | | | | MMNEX | | |
|
MM
S&P 500® Index Fund |
| | | | MMIZX | | | | | | MIEZX | | | | | | MMIEX | | | | | | MIEYX | | | | | | MIEAX | | | | | | MMFFX | | | | | | MMINX | | | | | | | | |
|
MassMutual Equity
Opportunities Fund |
| | | | MFVZX | | | | | | MFVSX | | | | | | MMFYX | | | | | | MMFVX | | | | | | MFVFX | | | | | | MFVAX | | | | | | MFVNX | | | | | | MMZOX | | |
|
MassMutual Fundamental
Growth
Fund |
| | | | MOTZX | | | | | | MOTCX | | | | | | MOTYX | | | | | | MOTLX | | | | | | MFGFX | | | | | | MOTAX | | | | | | MOTNX | | | | | | MMNDX | | |
|
MassMutual Blue Chip
Growth
Fund |
| | | | MBCZX | | | | | | MBCSX | | | | | | MBCYX | | | | | | MBCLX | | | | | | MBGFX | | | | | | MBCGX | | | | | | MBCNX | | | | | | MMZMX | | |
|
MassMutual Growth
Opportunities Fund |
| | | | MMAZX | | | | | | MGRSX | | | | | | MAGYX | | | | | | MAGLX | | | | | | MMGFX | | | | | | MMAAX | | | | | | MMANX | | | | | | MMNFX | | |
|
MassMutual Mid Cap Value
Fund |
| | | | MLUZX | | | | | | MLUSX | | | | | | MLUYX | | | | | | MLULX | | | | | | MLUFX | | | | | | MLUAX | | | | | | MLUNX | | | | | | MMNHX | | |
|
MassMutual Small Cap
Value
Equity Fund |
| | | | MMQIX | | | | | | MMQSX | | | | | | MMQYX | | | | | | MMQLX | | | | | | MMQFX | | | | | | MMQAX | | | | | | MMQTX | | | | | | MMNKX | | |
|
MassMutual Small
Company Value Fund |
| | | | MSVZX | | | | | | MSVSX | | | | | | MMVYX | | | | | | MMYLX | | | | | | MMVFX | | | | | | MMYAX | | | | | | MSVNX | | | | | | MMNLX | | |
|
MassMutual Mid Cap
Growth
Fund |
| | | | MEFZX | | | | | | MGRFX | | | | | | MEFYX | | | | | | MMELX | | | | | | MEFFX | | | | | | MEFAX | | | | | | MEFNX | | | | | | MMNGX | | |
|
MassMutual Small Cap
Growth
Equity Fund |
| | | | MSGZX | | | | | | MSGSX | | | | | | MSCYX | | | | | | MSGLX | | | | | | MSERX | | | | | | MMGEX | | | | | | MSGNX | | | | | | MMNJX | | |
|
MassMutual Overseas Fund |
| | | | MOSZX | | | | | | MOSSX | | | | | | MOSYX | | | | | | MOSLX | | | | | | MOSFX | | | | | | MOSAX | | | | | | MOSNX | | | | | | MMOJX | | |
|
MassMutual Select T. Rowe
Price
International Equity Fund |
| | | | MMIUX | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | |
Page |
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| | | | B-51 | | | |
| | | | B-62 | | | |
| | | | B-85 | | | |
| | | | B-97 | | | |
| | | | B-97 | | | |
| | | | B-99 | | | |
| | | | B-100 | | | |
| | | | B-100 | | | |
| | | | B-100 | | | |
| | | | B-100 | | | |
| | | | B-105 | | | |
| | | | B-106 | | | |
| | | | B-108 | | | |
| | | | B-108 | | | |
| | | | B-109 | | | |
| | | | B-120 | | | |
| | | | B-121 | | | |
| | | | B-125 | | | |
| | | | B-294 | | |
| Allan W. Blair 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1948 Trustee of the Trust since 2003 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 2012 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 2012 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 2012 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 2009 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 2001 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 |
| |
$191,115 |
| |
$285,825 |
|
Nabil N. El-Hage |
| |
$196,280 1
|
| |
$337,648 |
|
Michael R. Fanning |
| |
$0 |
| |
$0 |
|
Maria D. Furman |
| |
$179,064 |
| |
$267,800 |
|
R.
Alan Hunter, Jr. 2
|
| |
$149,919 |
| |
$224,700 |
|
R.
Bradford Malt 3
|
| |
$53,633 |
| |
$79,930 |
|
C.
Ann Merrifield |
| |
$186,915 |
| |
$279,500 |
|
Clifford M. Noreen |
| |
$0 |
| |
$0 |
|
Cynthia R. Plouché 3
|
| |
$53,633 |
| |
$119,930 |
|
Jason J. Price 3
|
| |
$53,633 |
| |
$119,930 |
|
Susan B. Sweeney |
| |
$228,647 |
| |
$510,787 |
|
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 33.98% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 23.84% | | |
| | |
MassMutual 20/80 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.67% | | |
| | |
MassMutual 40/60 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.37% | | |
| | |
Charles Schwab & Company
Inc.
211
Main Street
San
Francisco, CA 94105 |
| | | | 5.26% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 75.02% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 24.49% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 87.24% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.64% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 64.20% | | |
| | |
Charles Schwab & Company
Inc.
211
Main Street
San
Francisco, CA 94105 |
| | | | 21.78% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.02% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 89.74% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.81% | | |
Class A |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 70.93% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 26.99% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 72.71% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 21.65% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 5.56% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 28.43% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.82% | | |
| | |
MassMutual 20/80 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 11.18% | | |
| | |
MassMutual 40/60 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 8.29% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.91% | | |
| | |
MassMutual 60/40 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.50% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 37.47% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 32.20% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 27.64% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 85.50% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.02% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 70.41% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.82% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 56.15% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 38.39% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 74.26% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.96% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 9.62% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfiled, MA 01111 |
| | | | 40.73% | | |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 39.53% | | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 15.10% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 58.59% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 10.47% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 95.80% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 62.70% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 36.08% | | |
Administrative Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 57.98% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 42.01% | | |
Class R4 |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 39.72% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 38.98% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 21.30% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 74.19% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 19.42% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 51.37% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 48.45% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 66.40% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 14.87% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 85.02% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 14.92% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 63.00% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 36.23% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 94.18% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.61% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.12% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 68.45% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 19.72% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 10.37% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 40.88% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 35.60% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 23.51% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.05% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 20.97% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2040 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 10.68% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 8.64% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2050 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 8.21% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2035 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.60% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2045 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.54% | | |
Class R5 |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 51.60% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 43.86% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 58.33% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 36.85% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 51.63% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 43.07% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.37% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.95% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 12.32% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 37.19% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 32.71% | | |
| | |
Millennium Trust Company
LLC
2001
Spring Road
Oak
Brook, IL 60523 |
| | | | 23.92% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.85% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 22.60% | | |
| | |
Sammons Financial
Network
4546
Corporate Drive, Suite 100
West
Des Moines, IA 50266 |
| | | | 9.92% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 31.31% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.64% | | |
| | |
Empower Trust Company
FBO
State of Iowa 457B Plan
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 13.16% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 8.50% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 84.85% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 10.58% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 71.42% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 27.19% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 69.12% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.96% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 12.66% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 46.09% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 35.20% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 10.25% | | |
| | |
FIIOC
FBO
Atlas Minerals & Chemicals, Inc.
Union
401K PS Plan
100
Magellan Way
Covington, KY 41015 |
| | | | 7.14% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 59.60% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 23.00% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 14.93% | | |
Class R3 |
| |
Sammons Financial
Network
4546
Corporate Drive, Suite 100
West
Des Moines, IA 50266 |
| | | | 62.49% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 34.05% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 56.70% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 39.55% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 53.28% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 46.72% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 60.39% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 34.55% | | |
| | |
Reliance Trust Company
FBO
MassMutual Various Non-Qualified Plans
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 5.07% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 70.28% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 29.72% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 98.35% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 83.42% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 10.86% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 81.98% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.80% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 32.84% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 27.13% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 17.29% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 45.74% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 33.48% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.59% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 56.04% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 33.47% | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 8.97% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 69.97% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.97% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 43.31% | | |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 36.22% | | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 20.09% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 63.21% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 28.23% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 5.15% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 53.75% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 29.14% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.34% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 55.63% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 24.56% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 63.55% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 31.45% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 55.54% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 44.19% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 89.51% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.49% | | |
Class R4 |
| |
TIAA, FSB Custodian/TTEE
211
North Broadway, Suite 1000
Saint
Louis, MO 63102 |
| | | | 63.28% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 23.45% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 7.50% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 5.78% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 83.16% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 10.80% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 53.59% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 46.41% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 43.82% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 21.48% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.43% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 95.99% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 88.80% | | |
| | |
The Hartford
One
Hartford Plaza
Hartford, CT 06155 |
| | | | 11.20% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.91% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 40.15% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 7.62% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 67.42% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 25.73% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 95.65% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
MassMutual
RetireSMARTSM by JPMorgan 2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 12.30% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2040 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 12.08% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 10.81% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2050 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 9.50% | | |
| | |
MassMutual 60/40 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 7.68% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2035 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.50% | | |
| | |
MassMutual 40/60 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.31% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 6.11% | | |
| | |
MassMutual 80/20 Allocation
Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.98% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2045 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.78% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
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 |
| | | | 77.17% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.83% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 96.25% | | |
Class R4 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 45.70% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 41.88% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.42% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 67.34% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 21.77% | | |
| | |
Reliance Trust Company
FBO
MassMutual Various Non-Qualified Plans
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 9.04% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 48.19% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 28.97% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 22.84% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 44.30% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 36.66% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 18.35% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 73.63% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 26.37% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 85.58% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 13.46% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 82.26% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.07% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 68.03% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 26.64% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 5.33% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 50.52% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 25.07% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 21.68% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 77.85% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 22.15% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 34.37% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.11% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 10.45% | | |
| | |
TIAA, FSB Custodian/TTEE
211
North Broadway Suite 1000
Saint
Louis, MO 63102 |
| | | | 8.58% | | |
| | |
DCGT as TTEE and/or Custodian
Omnibus
711
High Street
Des
Moines, IA 50392 |
| | | | 6.01% | | |
Class R5 |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 21.63% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 18.32% | | |
| | |
Charles Schwab & Company
Inc.
211
Main Street
San
Francisco, CA 94105 |
| | | | 17.26% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.31% | | |
| | |
PIMS/Prudential
Retirement
FBO
Flowline Inc 401K
10500
Humbolt Street
Los
Alamitos, CA 90720 |
| | | | 8.13% | | |
| | |
DCGT as TTEE and/or Custodian
Omnibus
711
High Street
Des
Moines, IA 50392 |
| | | | 6.20% | | |
Service Class |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 28.67% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 20.48% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 15.32% | | |
| | |
John Hancock Trust Company
LLC
200
Berkeley Street
Boston,
MA 02116 |
| | | | 9.56% | | |
| | |
TIAA, FSB Custodian/TTEE
211
North Broadway Suite 1000
Saint
Louis, MO 63102 |
| | | | 7.62% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 68.18% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 24.07% | | |
Class R4 |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 29.75% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 22.18% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 17.40% | | |
| | |
DCGT as TTEE and/or Custodian
Omnibus
711
High Street
Des
Moines, IA 50392 |
| | | | 7.48% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 5.22% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 67.92% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 16.66% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 9.88% | | |
Class R3 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 54.87% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 19.78% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 16.69% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 33.69% | | |
| | |
PIMS/Prudential
Retirement
FBO
Ferguson Enterprises LLC
12500
Jefferson Avenue
Newport
News VA 23602 |
| | | | 18.60% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 14.51% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 10.80% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 72.51% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 12.86% | | |
| | |
National Financial Services
LLC
499
Washington Boulevard
Jersey
City, NJ 07310 |
| | | | 9.76% | | |
Service Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 58.56% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 40.05% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 69.68% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.10% | | |
Class R4 |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 63.89% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 24.05% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 6.64% | | |
| | |
Ascensus Trust Company
FBO
Construction Resources Holdings
P.O.
Box 10758
Fargo,
ND 58106 |
| | | | 5.40% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 76.42% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 17.20% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 52.37% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 37.47% | | |
| | |
State Street Bank TTEE and/or
Cust
FBO ADP
Access Product
1
Lincoln Street
Boston,
MA 02111 |
| | | | 6.75% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 37.51% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 11.21% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2040 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 7.93% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.67% | | |
| | |
MassMutual
RetireSMARTSM by JPMorgan 2050 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.24% | | |
Class R5 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 62.09% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
PIMS/Prudential
Retirement
FBO
Power Profit Sharing 401K
2041
South Cobalt Point Way
Meridian, ID 83642 |
| | | | 20.46% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 16.26% | | |
Service Class |
| |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 60.72% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 39.00% | | |
Administrative Class |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 71.94% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 27.89% | | |
Class R4 |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 47.53% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 40.36% | | |
| | |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 12.01% | | |
Class A |
| |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 68.51% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 11.01% | | |
| | |
Reliance Trust Company
FBO
MassMutual Various Non-Qualified Plans
P.O.
Box 28004
Atlanta, GA 30358 |
| | | | 10.15% | | |
| | |
Pershing LLC
P.O.
Box 2052
Jersey
City, NJ 07303 |
| | | | 7.15% | | |
Class R3 |
| |
Talcott Resolution Life
Insurance Company
1
Griffin Road North
Windsor, CT 06095 |
| | | | 44.56% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 41.72% | | |
| | |
Empower Trust Company
8515
East Orchard Road
Greenwood Village, CO 80111
|
| | | | 9.42% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
MassMutual Select T. Rowe Price Retirement
2040 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 20.53% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2030 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 17.59% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2050 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 15.25% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2035 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 11.01% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2045 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 10.29% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2025 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.56% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2055 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 6.53% | | |
| | |
MassMutual Select T. Rowe Price Retirement
2020 Fund
1 Iron
Street
Boston,
MA 02210 |
| | | | 5.59% | | |
Fund |
| | | |
Total Return Bond Fund |
| | 0.30% on the first $2 billion; and
0.27% on any excess over $2 billion |
|
Strategic Bond Fund |
| | 0.45% on the first $200 million; and
0.35% on any excess over $200 million |
|
Diversified Value Fund |
| | 0.50% on the first $400 million; and
0.475% on any excess over $400 million |
|
Fundamental Value Fund |
| | 0.60% on the first $1.25 billion;
0.575% on the next $250 million; and 0.55% on any excess over $1.5 billion |
|
S&P 500 Index Fund |
| | 0.10% on the first $2.5 billion; 0.08% on the next $2.5 billion; and 0.05% on any excess over $5 billion |
|
Equity Opportunities Fund |
| | 0.69% on the first $1 billion; and
0.64% on any excess over $1 billion |
|
Fundamental Growth Fund |
| | 0.65% on the first $300 million; and
0.60% on any excess over $300 million |
|
Blue Chip Growth Fund |
| | 0.65% on the first $750 million; and
0.60% on any excess over $750 million |
|
Growth Opportunities Fund |
| | 0.71% on the first $500 million; and
0.68% on any excess over $500 million |
|
Mid
Cap Value Fund |
| | 0.70% on the first $300 million; and
0.65% on any excess over $300 million |
|
Small Cap Value Equity Fund
|
| | 0.75% on the first $300 million; and
0.70% on any excess over $300 million |
|
Small Company Value Fund |
| | 0.85% on the first $750 million; and
0.80% on any excess over $750 million |
|
Mid
Cap Growth Fund |
| | 0.72% on the first $2 billion; and
0.67% on any excess over $2 billion |
|
Small Cap Growth Equity Fund
|
| | 0.80% on the first $1 billion; and
0.78% on any excess over $1 billion |
|
Overseas Fund |
| | 0.80% on the first $750 million;
0.775% on the next $500 million; and 0.75% on any excess over $1.25 billion |
|
MM
Select T. Rowe Price International Equity Fund |
| | 0.00% | |
| | | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
| ||||||||||||||||||||||||
|
Total Return Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Strategic Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Diversified Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Fundamental Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
S&P 500 Index Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.25% | | | | | | 0.35% | | | | | | 0.25% | | | | | | 0.35% | | | | | | 0.25% | | | | | | N/A | | |
|
Equity Opportunities Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Fundamental Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Blue
Chip Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Growth Opportunities Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Mid
Cap Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
| Small Cap Value Equity Fund | | | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Small Company Value Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Mid
Cap Growth Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Small Cap Growth Equity
Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
Overseas Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | |
|
MM Select T. Rowe Price
International Equity Fund
|
| | | | None | | | |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
| |
N/A |
|
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Total Return Bond Fund 1
|
| | | $ | 2,433,628 | | | | | $ | 1,088,619 | | | | | $ | (243,363) | | | | | $ | 399,344 | | | | | $ | — | | |
Strategic Bond Fund 2
|
| | | | 1,966,150 | | | | | | 869,178 | | | | | | (252,307) | | | | | | 355,494 | | | | | | — | | |
Diversified Value Fund |
| | | | 1,802,361 | | | | | | 802,075 | | | | | | — | | | | | | 256,901 | | | | | | — | | |
Fundamental Value Fund |
| | | | 3,333,973 | | | | | | 1,483,298 | | | | | | — | | | | | | 388,987 | | | | | | — | | |
S&P 500 Index Fund |
| | | | 2,966,050 | | | | | | 250,502 | | | | | | — | | | | | | 4,159,740 | | | | | | — | | |
Equity Opportunities Fund |
| | | | 4,925,333 | | | | | | 2,175,135 | | | | | | — | | | | | | 532,181 | | | | | | — | | |
Fundamental Growth Fund 3
|
| | | | 271,192 | | | | | | 180,454 | | | | | | (3,775) | | | | | | 73,579 | | | | | | — | | |
Blue Chip Growth Fund |
| | | | 21,544,826 | | | | | | 10,621,148 | | | | | | — | | | | | | 2,227,677 | | | | | | — | | |
Growth Opportunities Fund 4
|
| | | | 2,594,889 | | | | | | 1,215,251 | | | | | | (73,133) | | | | | | 290,168 | | | | | | — | | |
Mid
Cap Value Fund 5
|
| | | | 835,677 | | | | | | 384,450 | | | | | | — | | | | | | 9,974 | | | | | | (378,927) | | |
Small Cap Value Equity Fund
|
| | | | 449,998 | | | | | | 294,824 | | | | | | — | | | | | | 43,295 | | | | | | — | | |
Small Company Value Fund 6
|
| | | | 2,207,447 | | | | | | 1,230,662 | | | | | | — | | | | | | 153,485 | | | | | | (240,158) | | |
Mid
Cap Growth Fund 7
|
| | | | 48,463,244 | | | | | | 29,674,666 | | | | | | (1,497,063) | | | | | | 2,889,026 | | | | | | — | | |
Small Cap Growth Equity Fund
|
| | | | 5,226,397 | | | | | | 3,367,581 | | | | | | — | | | | | | 355,630 | | | | | | — | | |
Overseas Fund 8
|
| | | | 4,456,361 | | | | | | 2,528,164 | | | | | | — | | | | | | 367,605 | | | | | | (641,568) | | |
MM Select T. Rowe Price
International
Equity Fund9
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (1,278,606) | | |
| | | |
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 |
| ||||||||||||||||||
|
Total Return Bond Fund 1
|
| | | $ | 2,736,139 | | | | | $ | 1,200,332 | | | | | $ | (236,008) | | | | | $ | 509,955 | | | | | $ | 23,573 | | | | | $ | — | | |
|
Strategic Bond Fund 2
|
| | | | 2,763,689 | | | | | | 1,225,656 | | | | | | (47,321) | | | | | | 585,747 | | | | | | 56,463 | | | | | | — | | |
|
Diversified Value Fund |
| | | | 1,956,501 | | | | | | 866,306 | | | | | | — | | | | | | 259,176 | | | | | | 19,660 | | | | | | — | | |
|
Fundamental Value Fund |
| | | | 3,624,144 | | | | | | 1,588,499 | | | | | | — | | | | | | 449,770 | | | | | | 39,041 | | | | | | — | | |
|
S&P 500 Index Fund |
| | | | 3,276,380 | | | | | | 279,719 | | | | | | — | | | | | | 4,717,662 | | | | | | 205,119 | | | | | | — | | |
|
Equity Opportunities Fund |
| | | | 5,349,429 | | | | | | 2,355,624 | | | | | | — | | | | | | 570,252 | | | | | | 45,221 | | | | | | — | | |
|
Fundamental Growth Fund |
| | | | 420,446 | | | | | | 277,854 | | | | | | — | | | | | | 104,246 | | | | | | 12,334 | | | | | | — | | |
|
Blue Chip Growth Fund |
| | | | 27,410,846 | | | | | | 13,628,378 | | | | | | — | | | | | | 2,914,100 | | | | | | 254,096 | | | | | | — | | |
|
Growth Opportunities Fund 3
|
| | | | 3,750,207 | | | | | | 1,784,532 | | | | | | (105,900) | | | | | | 426,134 | | | | | | 42,413 | | | | | | — | | |
|
Mid
Cap Value Fund 4
|
| | | | 844,752 | | | | | | 433,438 | | | | | | — | | | | | | 15,897 | | | | | | 1,667 | | | | | | (271,653) | | |
|
Small Cap Value Equity Fund
|
| | | | 642,117 | | | | | | 417,682 | | | | | | — | | | | | | 52,092 | | | | | | 3,903 | | | | | | — | | |
|
Small Company Value Fund 5
|
| | | | 2,152,369 | | | | | | 1,202,906 | | | | | | — | | | | | | 161,648 | | | | | | 11,183 | | | | | | (63,681) | | |
|
Mid
Cap Growth Fund |
| | | | 65,355,447 | | | | | | 43,834,282 | | | | | | — | | | | | | 4,008,134 | | | | | | 225,608 | | | | | | — | | |
|
Small Cap Growth Equity Fund
|
| | | | 5,948,196 | | | | | | 3,812,722 | | | | | | — | | | | | | 470,077 | | | | | | 31,523 | | | | | | — | | |
|
Overseas Fund 6
|
| | | | 5,600,920 | | | | | | 3,122,376 | | | | | | — | | | | | | 431,368 | | | | | | 25,752 | | | | | | (664,788) | | |
|
MM Select T. Rowe Price
International Equity
Fund7
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (1,204,393) | | |
| | | |
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 |
| ||||||||||||||||||
|
Total Return Bond Fund |
| | | $ | 2,621,615 | | | | | $ | 1,159,096 | | | | | $ | — | | | | | $ | 551,058 | | | | | $ | 94,506 | | | | | $ | — | | |
|
Strategic Bond Fund |
| | | | 2,706,888 | | | | | | 1,197,453 | | | | | | — | | | | | | 461,171 | | | | | | 206,492 | | | | | | — | | |
|
Diversified Value Fund |
| | | | 1,689,488 | | | | | | 740,187 | | | | | | — | | | | | | 179,101 | | | | | | 78,695 | | | | | | — | | |
|
Fundamental Value Fund |
| | | | 3,528,287 | | | | | | 1,545,143 | | | | | | — | | | | | | 376,008 | | | | | | 171,384 | | | | | | — | | |
|
S&P 500 Index Fund |
| | | | 3,093,046 | | | | | | 263,188 | | | | | | — | | | | | | 4,059,604 | | | | | | 853,150 | | | | | | — | | |
|
Equity Opportunities Fund |
| | | | 4,471,902 | | | | | | 1,972,212 | | | | | | — | | | | | | 421,440 | | | | | | 186,645 | | | | | | — | | |
|
Fundamental Growth Fund |
| | | | 652,262 | | | | | | 348,876 | | | | | | — | | | | | | 88,815 | | | | | | 47,137 | | | | | | — | | |
|
Blue Chip Growth Fund |
| | | | 21,742,700 | | | | | | 10,835,533 | | | | | | — | | | | | | 1,814,627 | | | | | | 850,602 | | | | | | — | | |
|
Growth Opportunities Fund 1
|
| | | | 3,315,349 | | | | | | 1,718,034 | | | | | | (46,268) | | | | | | 354,192 | | | | | | 158,648 | | | | | | — | | |
|
Mid
Cap Value Fund 2
|
| | | | 663,636 | | | | | | 379,548 | | | | | | — | | | | | | 10,201 | | | | | | 5,950 | | | | | | (188,551) | | |
|
Small Cap Value Equity Fund
|
| | | | 592,644 | | | | | | 383,421 | | | | | | — | | | | | | 40,388 | | | | | | 15,066 | | | | | | — | | |
|
Small Company Value Fund |
| | | | 1,511,953 | | | | | | 845,750 | | | | | | — | | | | | | 107,926 | | | | | | 40,169 | | | | | | — | | |
|
Mid
Cap Growth Fund |
| | | | 57,290,989 | | | | | | 38,106,499 | | | | | | — | | | | | | 3,134,514 | | | | | | 874,229 | | | | | | — | | |
|
Small Cap Growth Equity Fund
|
| | | | 4,279,385 | | | | | | 2,779,762 | | | | | | — | | | | | | 299,587 | | | | | | 107,883 | | | | | | — | | |
|
Overseas Fund 3
|
| | | | 4,717,577 | | | | | | 2,641,862 | | | | | | — | | | | | | 301,957 | | | | | | 91,560 | | | | | | (351,140) | | |
|
MM Select T. Rowe Price
International Equity
Fund4
|
| | | | 6,948,382 | | | | | | 3,651,280 | | | | | | — | | | | | | — | | | | | | — | | | | | | (1,207,625) | | |
| | | Class R4 12b-1 Fees |
| | Class A 12b-1 Fees |
| | Class R3 12b-1 Fees |
| |||||||||
Total Return Bond Fund |
| | | $ | 166,372 | | | | | $ | 28,662 | | | | | $ | 98,744 | | |
Strategic Bond Fund |
| | | | 69,103 | | | | | | 48,142 | | | | | | 35,040 | | |
Diversified Value Fund |
| | | | 28,942 | | | | | | 65,716 | | | | | | 5,928 | | |
Fundamental Value Fund |
| | | | 18,673 | | | | | | 73,482 | | | | | | 7,828 | | |
S&P 500 Index Fund |
| | | | 1,080,554 | | | | | | 51,688 | | | | | | 1,302,402 | | |
Equity Opportunities Fund |
| | | | 20,890 | | | | | | 120,322 | | | | | | 19,026 | | |
Fundamental Growth Fund |
| | | | 3,481 | | | | | | 25,186 | | | | | | 6,756 | | |
Blue Chip Growth Fund |
| | | | 245,572 | | | | | | 287,193 | | | | | | 218,216 | | |
Growth Opportunities Fund |
| | | | 4,241 | | | | | | 64,479 | | | | | | 10,432 | | |
Mid
Cap Value Fund |
| | | | 706 | | | | | | 3,790 | | | | | | 676 | | |
Small Cap Value Equity Fund
|
| | | | 3,549 | | | | | | 13,935 | | | | | | 3,578 | | |
Small Company Value Fund |
| | | | 1,899 | | | | | | 32,878 | | | | | | 1,894 | | |
Mid
Cap Growth Fund |
| | | | 233,236 | | | | | | 313,239 | | | | | | 128,018 | | |
Small Cap Growth Equity Fund
|
| | | | 36,501 | | | | | | 62,729 | | | | | | 21,184 | | |
Overseas Fund |
| | | | 49,428 | | | | | | 47,784 | | | | | | 30,336 | | |
| | | | $ | 1,963,147 | | | | | $ | 1,239,225 | | | | | $ | 1,890,058 | | |
| | |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |
Fiscal Year ended September 30, 2020 |
| |||||||||
Total Return Bond Fund |
| | | $ | 33,155 | | | | | $ | 1,860 | | | | | $ | 18,097 | | |
Strategic Bond Fund |
| | | $ | 122,651 | | | | | $ | 85,217 | | | | | $ | 189,914 | | |
Diversified Value Fund |
| | | $ | 79,157 | | | | | $ | 55,552 | | | | | $ | 108,655 | | |
Fundamental Value Fund |
| | | $ | 146,684 | | | | | $ | 171,582 | | | | | $ | 388,993 | | |
S&P 500 Index Fund |
| | | $ | 83,998 | | | | | $ | 176,026 | | | | | $ | 108,922 | | |
Equity Opportunities Fund |
| | | $ | 61,908 | | | | | $ | 57,991 | | | | | $ | 88,470 | | |
Fundamental Growth Fund |
| | | $ | 17,101 | | | | | $ | 78,531 | | | | | $ | 46,206 | | |
Blue Chip Growth Fund |
| | | $ | 240,994 | | | | | $ | 154,023 | | | | | $ | 484,134 | | |
Growth Opportunities Fund |
| | | $ | 43,393 | | | | | $ | 66,783 | | | | | $ | 142,764 | | |
| | |
Fiscal Year ended September 30, 2022 |
| |
Fiscal Year ended September 30, 2021 |
| |
Fiscal Year ended September 30, 2020 |
| |||||||||
Mid
Cap Value Fund |
| | | $ | 59,625 | | | | | $ | 155,984 | | | | | $ | 31,038 | | |
Small Cap Value Equity Fund
|
| | | $ | 34,942 | | | | | $ | 178,851 | | | | | $ | 86,954 | | |
Small Company Value Fund |
| | | $ | 104,551 | | | | | $ | 129,755 | | | | | $ | 136,391 | | |
Mid
Cap Growth Fund |
| | | $ | 1,431,221 | | | | | $ | 279,341 | | | | | $ | 2,133,057 | | |
Small Cap Growth Equity Fund
|
| | | $ | 437,873 | | | | | $ | 243,394 | | | | | $ | 356,020 | | |
Overseas Fund |
| | | $ | 119,365 | | | | | $ | 249,233 | | | | | $ | 145,868 | | |
MM
Select T. Rowe Price International Equity Fund |
| | | $ | 642,373 | | | | | $ | 690,962 | | | | | $ | 513,051 | | |
| | |
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 | | ||||||||||||||||||||||||||||||
Diversified Value Fund 1
|
| | | $ | 753 | | | | | | 0.95% | | | | | | 0.48% | | | | | $ | 1,029 | | | | | $ | 940 | | |
Equity Opportunities Fund 1
|
| | | $ | 1,437 | | | | | | 2.32% | | | | | | 0.35% | | | | | $ | 1,259 | | | | | $ | 1,179 | | |
Fundamental Growth Fund 1
|
| | | $ | 64 | | | | | | 0.37% | | | | | | 0.08% | | | | | $ | 102 | | | | | $ | 65 | | |
Blue
Chip Growth Fund 1
|
| | | $ | 1,070 | | | | | | 0.44% | | | | | | 0.40% | | | | | $ | 4,452 | | | | | $ | 4,551 | | |
Mid
Cap Value Fund 1
|
| | | $ | 62 | | | | | | 0.10% | | | | | | 0.02% | | | | | $ | 24 | | | | | $ | — | | |
Mid
Cap Growth Fund 1
|
| | | $ | 15,260 | | | | | | 1.07% | | | | | | 0.30% | | | | | $ | 29,978 | | | | | $ | 17,755 | | |
Small
Cap Growth Equity Fund 1
|
| | | $ | — | | | | | | —% | | | | | | —% | | | | | $ | — | | | | | $ | 274 | | |
Overseas Fund 1
|
| | | $ | — | | | | | | —% | | | | | | —% | | | | | $ | — | | | | | $ | 788 | | |
| | |
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 |
| |||||||||||||||
MM
Select T. Rowe Price International
Equity Fund1
|
| | | $ | 29,930 | | | | | | 4.66% | | | | | | 3.73% | | | | | $ | 21,158 | | | | | $ | 19,281 | | |
| | |
Dollar Value of Those
Transactions |
| |
Amount of Commissions |
| ||||||
Diversified Value Fund |
| | | $ | 32,680,668 | | | | | $ | 13,444 | | |
Fundamental Value Fund |
| | | $ | 294,336,026 | | | | | $ | 125,783 | | |
Equity Opportunities Fund |
| | | $ | 331,340,951 | | | | | $ | 6,612 | | |
Fundamental Growth Fund |
| | | $ | 45,850,707 | | | | | $ | 6,008 | | |
Blue Chip Growth Fund |
| | | $ | 688,493,682 | | | | | $ | 98,462 | | |
Growth Opportunities Fund 1
|
| | | $ | 149,682,444 | | | | | $ | 25,227 | | |
Mid
Cap Value Fund |
| | | $ | 160,659,939 | | | | | $ | 60,201 | | |
Small Cap Value Equity Fund
|
| | | $ | 39,912,390 | | | | | $ | 15,931 | | |
Small Company Value Fund |
| | | $ | 92,731,854 | | | | | $ | 62,014 | | |
Mid
Cap Growth Fund |
| | | $ | 708,991,557 | | | | | $ | 302,085 | | |
Small Cap Growth Equity Fund
|
| | | $ | 816,851,002 | | | | | $ | 209,053 | | |
Overseas Fund |
| | | $ | 126,872,342 | | | | | $ | 48,874 | | |
Fund |
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
Total Return Bond Fund |
| | Bank of America Corp. | | | | $ | 11,275,994 | | |
| | | JPMorgan Chase & Co. | | | | | 8,244,804 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 8,201,606 | | |
| | | Morgan Stanley | | | | | 5,958,032 | | |
| | | Citigroup, Inc. | | | | | 5,601,354 | | |
| | | Credit Suisse Group AG | | | | | 4,604,042 | | |
| | | UBS AG | | | | | 428,948 | | |
| | | | | | | $ | 44,314,780 | | |
Strategic Bond Fund |
| | Bank of America Corp. | | | | $ | 7,227,519 | | |
| | | JPMorgan Chase & Co. | | | | | 3,390,172 | | |
Fund |
| |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
| | | Citigroup, Inc. | | | | | 3,038,403 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,498,504 | | |
| | | Credit Suisse Group AG | | | | | 1,551,163 | | |
| | | Morgan Stanley | | | | | 976,687 | | |
| | | UBS AG | | | | | 787,136 | | |
| | | Barclays plc | | | | | 443,183 | | |
| | | | | | | $ | 19,912,767 | | |
Diversified Value Fund |
| | JPMorgan Chase & Co. | | | | $ | 6,165,500 | | |
| | | Bank of America Corp. | | | | | 5,481,300 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 4,135,229 | | |
| | | Morgan Stanley | | | | | 2,354,498 | | |
| | | State Street Corp. | | | | | 1,283,638 | | |
| | | | | | | $ | 19,420,165 | | |
Fundamental Value Fund |
| | JPMorgan Chase & Co. | | | | $ | 9,967,941 | | |
| | | Bank of America Corp. | | | | | 3,102,235 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 2,882,440 | | |
| | | | | | | $ | 15,952,616 | | |
S&P 500 Index Fund |
| | JPMorgan Chase & Co. | | | | $ | 22,632,297 | | |
| | | Bank of America Corp. | | | | | 15,585,465 | | |
| | | Morgan Stanley | | | | | 7,809,744 | | |
| | | The Goldman Sachs Group, Inc. | | | | | 7,379,878 | | |
| | | Citigroup, Inc. | | | | | 5,952,435 | | |
| | | T. Rowe Price Group, Inc. | | | | | 1,741,906 | | |
| | | State Street Corp. | | | | | 1,650,383 | | |
| | | | | | | $ | 62,752,108 | | |
Equity Opportunities Fund |
| | The Goldman Sachs Group, Inc. | | | | $ | 3,047,720 | | |
| | | State Street Corp. | | | | | 2,006,730 | | |
| | | | | | | $ | 5,054,450 | | |
Blue Chip Growth Fund |
| | The Goldman Sachs Group, Inc. | | | | $ | 16,386,477 | | |
| | | | | | | $ | 16,386,477 | | |
Mid
Cap Value Fund |
| | T. Rowe Price Group, Inc | | | | $ | 578,185 | | |
| | | | | | | $ | 578,185 | | |
Overseas Fund |
| | UBS AG | | | | $ | 5,327,918 | | |
| | | Credit Suisse Group AG | | | | | 2,785,551 | | |
| | | | | | | $ | 8,113,469 | | |
MM
Select T. Rowe Price International Equity Fund |
| | UBS AG | | | | $ | 2,674,570 | | |
| | | | | | | $ | 2,674,570 | | |
|
|
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 |
| |||||||||||||||||||||||||||
|
Total Return Bond
Fund |
| | | $ | 292,817 | | | | | $ | 27,267 | | | | | $ | 10,203 | | | | | $ | — | | | | | $ | — | | | | | $ | 100,836 | | | | | $ | — | | | | | $ | 138,306 | | | | | $ | 154,511 | | |
|
Strategic Bond
Fund |
| | | $ | 32,703 | | | | | $ | 1,181 | | | | | $ | 751 | | | | | $ | — | | | | | $ | — | | | | | $ | 24,077 | | | | | $ | — | | | | | $ | 26,009 | | | | | $ | 6,694 | | |
|
Diversified Value
Fund |
| | | $ | 19,030 | | | | | $ | 974 | | | | | $ | 622 | | | | | $ | — | | | | | $ | — | | | | | $ | 11,915 | | | | | $ | — | | | | | $ | 13,511 | | | | | $ | 5,519 | | |
|
Fundamental
Value Fund |
| | | $ | 25,585 | | | | | $ | 1,721 | | | | | $ | 317 | | | | | $ | — | | | | | $ | — | | | | | $ | 13,795 | | | | | $ | — | | | | | $ | 15,832 | | | | | $ | 9,753 | | |
|
S&P 500 Index
Fund |
| | | $ | 4,134 | | | | | $ | 613 | | | | | $ | 42 | | | | | $ | — | | | | | $ | — | | | | | $ | 7 | | | | | $ | — | | | | | $ | 661 | | | | | $ | 3,473 | | |
|
Equity
Opportunities Fund
|
| | | $ | 25,350 | | | | | $ | 1,349 | | | | | $ | 874 | | | | | $ | — | | | | | $ | — | | | | | $ | 15,483 | | | | | $ | — | | | | | $ | 17,706 | | | | | $ | 7,644 | | |
|
Fundamental
Growth Fund |
| | | $ | 2,431 | | | | | $ | 278 | | | | | $ | 24 | | | | | $ | — | | | | | $ | — | | | | | $ | 553 | | | | | $ | — | | | | | $ | 855 | | | | | $ | 1,576 | | |
|
Blue Chip Growth
Fund |
| | | $ | 111,684 | | | | | $ | 12,172 | | | | | $ | 1,101 | | | | | $ | — | | | | | $ | — | | | | | $ | 29,437 | | | | | $ | — | | | | | $ | 42,710 | | | | | $ | 68,974 | | |
|
Growth
Opportunities Fund
|
| | | $ | 45,317 | | | | | $ | 5,164 | | | | | $ | 222 | | | | | $ | — | | | | | $ | — | | | | | $ | 10,666 | | | | | $ | — | | | | | $ | 16,052 | | | | | $ | 29,265 | | |
|
Mid Cap Value
Fund |
| | | $ | 4,512 | | | | | $ | 509 | | | | | $ | 126 | | | | | $ | — | | | | | $ | — | | | | | $ | 996 | | | | | $ | — | | | | | $ | 1,630 | | | | | $ | 2,882 | | |
|
Small Cap Value
Equity Fund |
| | | $ | 1,594 | | | | | $ | 176 | | | | | $ | 52 | | | | | $ | — | | | | | $ | — | | | | | $ | 366 | | | | | $ | — | | | | | $ | 594 | | | | | $ | 1,000 | | |
|
Small Company
Value Fund |
| | | $ | 44,469 | | | | | $ | 4,919 | | | | | $ | 800 | | | | | $ | — | | | | | $ | — | | | | | $ | 10,875 | | | | | $ | — | | | | | $ | 16,594 | | | | | $ | 27,875 | | |
|
Mid Cap Growth
Fund |
| | | $ | 544,935 | | | | | $ | 46,569 | | | | | $ | 17,922 | | | | | $ | — | | | | | $ | — | | | | | $ | 216,552 | | | | | $ | — | | | | | $ | 281,043 | | | | | $ | 263,892 | | |
|
Small Cap Growth
Equity Fund |
| | | $ | 173,234 | | | | | $ | 20,212 | | | | | $ | 2,565 | | | | | $ | — | | | | | $ | — | | | | | $ | 35,924 | | | | | $ | — | | | | | $ | 58,701 | | | | | $ | 114,533 | | |
|
Overseas Fund |
| | | $ | 116,375 | | | | | $ | 14,145 | | | | | $ | 1,975 | | | | | $ | — | | | | | $ | — | | | | | $ | 20,099 | | | | | $ | — | | | | | $ | 36,219 | | | | | $ | 80,156 | | |
|
MM Select T.
Rowe Price International Equity
Fund |
| | | $ | 438,322 | | | | | $ | 47,870 | | | | | $ | 5,888 | | | | | $ | — | | | | | $ | — | | | | | $ | 113,302 | | | | | $ | — | | | | | $ | 167,060 | | | | | $ | 271,262 | | |
| | | | | B-131 | | | |
| | | | | B-131 | | | |
| | | | | B-132 | | | |
| | | | | B-132 | | | |
| | | | | B-136 | | | |
| | | | | B-139 | | | |
| | | | | B-142 | | | |
| | | | | B-143 | | | |
| | | | | B-145 | | | |
| | | | | B-148 | | | |
| | | | | B-148 | | | |
| | | | | B-148 | | | |
| | | | | B-148 | | | |
| | | | | B-149 | | | |
| | | | | B-149 | | | |
| | | | | B-149 | | | |
| | | | | B-150 | | | |
| | | | | B-150 | | | |
| | | | | B-150 | | | |
| | | | | B-151 | | | |
| | | | | B-151 | | | |
| | | | | B-151 | | | |
| | | | | B-151 | | | |
| | | | | B-151 | | | |
|
6.5
DOCUMENTS PREPARED BY AB THAT ARE MATERIAL TO |
| ||||||
| | | | | B-151 | | | |
| | | | | B-151 | | | |
| | | | | B-151 | | | |
| | | | | B-151 | | | |
| | | | | B-152 | | |
|
Shareholder Proposal |
| | | | |
For |
| |
Against |
| |
Case-by- Case |
|
|
Board and Director Proposals |
| ||||||||||||
| | | | Board Diversity | | | | | | | | |
+
|
|
|
+
|
| | Establish New Board Committees and Elect Board Members with Specific Expertise | | | | | | | | |
+
|
|
| | | | Changes in Board Structure and Amending the Articles of Incorporation | | |
+
|
| | | | | | |
| | | | Classified Boards | | | | | |
+
|
| | | |
| | | | Director Liability and Indemnification | | | | | | | | |
+
|
|
|
+
|
| | Disclose CEO Succession Plan | | |
+ |
| | | | | | |
| | | | Election of Directors | | |
+
|
| | | | | | |
| | | | Controlled Company Exemption | | | | | | | | |
+
|
|
| | | | Voting for Director Nominees in a Contested Election | | | | | | | | |
+
|
|
|
+
|
| | Independent Lead Director | | |
+
|
| | | | | | |
|
+
|
| | Limit Term of Directorship | | | | | | | | |
+
|
|
|
+ |
| | Majority of Independent Directors | | |
+
|
| | | | | | |
|
+
|
| | Majority of Independent Directors on Key Committees | | |
+
|
| | | | | | |
|
+ |
| | Majority Votes for Directors | | |
+
|
| | | | | | |
|
+
|
| | Removal of Directors Without Cause | | |
+
|
| | | | | | |
|
+
|
| | Require Independent Board Chairman | | | | | | | | |
+
|
|
|
+
|
| | Require Two Candidates for Each Board Seat | | | | | |
+ |
| | | |
|
Compensation Proposals |
| ||||||||||||
|
+
|
| | Elimination of Single Trigger Change-in-Control Agreements | | |
+
|
| | | | | | |
|
+
|
| | Pro Rata Vesting of Equity Compensation Awards-Change of Control | | | | | | | | |
+
|
|
|
+ |
| | Adopt Policies to Prohibit any Death Benefits to Senior Executives | | | | | |
+
|
| | | |
|
+
|
| | Advisory Vote to Ratify Directors’ Compensation | | |
+
|
| | | | | | |
|
+
|
| | Amend Executive Compensation Plan Tied to Performance (Bonus Banking) | | | | | |
+ |
| | | |
| | | | Approve Remuneration for Directors and Auditors | | | | | | | | |
+
|
|
| | | | Approve Remuneration Reports | | | | | | | | |
+ |
|
| | | | Approve Retirement Bonuses for Directors (Japan and South Korea) | | | | | | | | |
+
|
|
| | | | Approve Special Payments to Continuing Directors and Auditors (Japan) | | | | | | | | |
+
|
|
|
+
|
| | Disclose Executive and Director Pay | | | | | | | | |
+
|
|
|
+
|
| | Exclude Pension Income from Performance-Based Compensation | | |
+ |
| | | | | | |
| | | | Executive and Employee Compensation Plans | | | | | | | | |
+ |
|
|
+
|
| | Limit Dividend Payments to Executives | | | | | |
+
|
| | | |
|
+ |
| | Limit Executive Pay | | | | | | | | |
+
|
|
|
+
|
| | Mandatory Holding Periods | | | | | |
+
|
| | | |
|
+
|
| | Performance-Based Stock Option Plans | | | | | | | | |
+ |
|
|
+
|
| | Prohibit Relocation Benefits to Senior Executives | | | | | |
+
|
| | | |
|
+
|
| | Recovery of Performance-Based Compensation | | |
+
|
| | | | | | |
|
+
|
| | Submit Golden Parachutes/Severance Plans to a Shareholder Vote | | | | | |
+
|
| | | |
|
+
|
| | Submit Golden Parachutes/Severance Plans to a Shareholder Vote prior to their being Negotiated by Management | | | | | | | | |
+
|
|
|
+
|
| | Submit Survivor Benefit Compensation Plans to a Shareholder Vote | | |
+ |
| | | | | | |
|
Capital Changes and Anti-Take Over
Proposals |
| ||||||||||||
|
+
|
| | Amend Exclusive Forum Bylaw | | | | | |
+
|
| | | |
|
Shareholder Proposal |
| | | | |
For |
| |
Against |
| |
Case-by- Case |
|
| | | | Amend Net Operating Loss (“NOL”) Rights Plans | | |
+
|
| | | | | | |
| | | | Authorize Share Repurchase | | |
+
|
| | | | | | |
| | | | Blank Check Preferred Stock | | | | | |
+ |
| | | |
| | | | Corporate Restructurings, Merger Proposals and Spin-Offs | | | | | | | | |
+
|
|
| | | | Elimination of Preemptive Rights | | | | | | | | |
+ |
|
|
+
|
| | Expensing Stock Options | | |
+
|
| | | | | | |
| | | | Fair Price Provisions | | | | | | | | |
+
|
|
| | | | Increase Authorized Common Stock | | | | | | | | |
+
|
|
| | | | Issuance of Equity without Preemptive Rights | | |
+
|
| | | | | | |
| | | | Issuance of Stock with Unequal Voting Rights | | | | | | | | |
+
|
|
| | | | Net Long Position Requirement | | |
+ |
| | | | | | |
| | | | Reincorporation | | | | | | | | |
+
|
|
|
+
|
| | Reincorporation to Another jurisdiction to Permit Majority Voting or Other Changes in Corporate Governance | | | | | | | | |
+
|
|
| | | | Stock Splits | | |
+ |
| | | | | | |
|
+
|
| | Submit Company’s Shareholder Rights Plan to a Shareholder Vote | | |
+
|
| | | | | | |
| | | | Transferrable Stock Options | | | | | | | | |
+
|
|
|
Auditor Proposals |
| ||||||||||||
| | | | Appointment of Auditors | | |
+
|
| | | | | | |
| | | | Approval of Financial Statements | | |
+ |
| | | | | | |
| | | | Approval of Internal Statutory Auditors | | |
+ |
| | | | | | |
|
+
|
| | Limit Compensation Consultant Services | | | | | |
+ |
| | | |
| | | | Limitation of Liability of External Statutory Auditors (Japan) | | | | | | | | |
+
|
|
|
+
|
| | Separating Auditors and Consultants | | | | | | | | |
+
|
|
|
Shareholder Access & Voting
Proposals |
| ||||||||||||
|
+
|
| | A Shareholder’s Right to Call Special Meetings | | |
+
|
| | | | | | |
|
+ |
| | Adopt Cumulative Voting | | | | | | | | |
+
|
|
|
+
|
| | Adopt Cumulative Voting in Dual Shareholder Class Structures | | |
+
|
| | | | | | |
|
+ |
| | Early Disclosure of Voting Results | | | | | |
+
|
| | | |
|
+ |
| | Implement Confidential Voting | | |
+
|
| | | | | | |
| | | | Limiting a Shareholder’s Right to Call Special Meetings | | | | | |
+
|
| | | |
|
+ |
| | Permit a Shareholder’s Right to Act by Written Consent | | | | | | | | |
+ |
|
|
+
|
| | Proxy Access for Annual Meetings | | |
+ |
| | | | | | |
| | | | Reduce Meeting Notification from 21 Days to 14 Days (UK) | | |
+
|
| | | | | | |
|
+
|
| | Rotation of Locale for Annual Meeting | | | | | |
+
|
| | | |
|
+
|
| | Shareholder Proponent Engagement Process | | |
+ |
| | | | | | |
| | | | Supermajority Vote Requirements | | | | | |
+ |
| | | |
|
Environmental & Social, Disclosure
Proposals |
| ||||||||||||
|
+
|
| | Animal Welfare | | | | | | | | |
+
|
|
|
+
|
| | Climate Change | | | | | | | | |
+
|
|
|
+
|
| | Carbon Accounting | | |
+
|
| | | | | | |
|
+
|
| | Carbon Risk | | |
+
|
| | | | | | |
|
+ |
| | Charitable Contributions | | | | | | | | |
+
|
|
|
+
|
| | Environmental Proposals | | | | | | | | |
+
|
|
|
+
|
| | Genetically Altered or Engineered Food and Pesticides | | | | | | | | |
+
|
|
|
+
|
| | Health Proposals | | | | | | | | |
+
|
|
|
+
|
| | Pharmaceutical Pricing (US) | | | | | | | | |
+
|
|
|
Shareholder Proposal |
| | | | |
For |
| |
Against |
| |
Case-by- Case |
|
|
+ |
| | Human Rights Policies and Reports | | | | | | | | |
+
|
|
|
+
|
| | Include Sustainability as a Performance Measure (SHP) | | | | | | | | |
+
|
|
|
+ |
| | Lobbying and Political Spending | | |
+
|
| | | | | | |
|
+
|
| | Other Business | | | | | |
+
|
| | | |
|
+
|
| | Reimbursement of Shareholder Expenses | | | | | |
+
|
| | | |
|
+
|
| | Sustainability Report | | | | | | | | |
+
|
|
|
+ |
| | Work Place: Diversity | | |
+
|
| | | | | | |
|
+
|
| | Work Place: Pay Disparity | | | | | | | | |
+ |
|
|
Name of Security |
| |
Date of Shareholder Meeting |
|
| 1. | | |
Is our proposed vote on all issues explicitly addressed by, and
consistent with our stated proxy voting policy?
If yes, stop here and sign below as no
further review is necessary. |
| |
☐
Yes ☐ No |
|
|
2. |
| |
Is our proposed vote on consistent with our
client’s recommended vote?
Leave
blank if not applicable; if yes, continue to question 3; if no, provide a
memo reflecting the guidelines provided below. |
| | ☐ Yes ☐ No | |
| 3. | | |
Is our proposed vote consistent with the views of Institutional
Shareholder Services?
Leave blank if not applicable.
|
| |
☐
Yes ☐ No |
|
| AB Conflicts Officer Approval (if necessary. Email approval is acceptable.): | | |
Prepared by: |
|
| I hereby confirm that the proxy voting decision referenced on this form is reasonable. | | | | |
| | | | Print Name: | |
| AB Conflicts Officer | | | Date: | |
| Date: | | | | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based * |
| |
Total
Assets* |
| ||||||
| James W. MacGregor | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 21 | | | |
$6,360 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 38 | | | |
$1,497 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 52 | | | |
$2,557 million |
| | | | 0 | | | |
$0 |
|
| Erik A. Turenchalk | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 15 | | | |
$5,506 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 36 | | | |
$1,352 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 52 | | | |
$2,557 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Michael Liss | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 17 | | | |
$27,457,084,562 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$3,779,565,662 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 10 | | | |
$1,603,813,821 |
| | | | 0 | | | |
$0 |
|
| Nathan Rawlins | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 9 | | | |
$11,090,814,900 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$793,251,062 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 2 | | | |
$241,803,154 |
| | | | 0 | | | |
$0 |
|
| Kevin Toney | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 17 | | | |
$27,457,084,562 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$3,779,565,662 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 10 | | | |
$1,603,813,821 |
| | | | 0 | | | |
$0 |
|
| Brian Woglom | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 21 | | | |
$28,764,239,748 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$2,686,122,254 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 9 | | | |
$1,602,187,236 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ryan Cope | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$5,452,906,242 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$649,903,946 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 7 | | | |
$439,281,766 |
| | | | 0 | | | |
$0 |
|
| Jeff John | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$5,452,906,242 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$649,903,946 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 7 | | | |
$439,281,766 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed 1 |
| |
Total Assets 1 |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based 1 |
| |
Total Assets 1 |
| ||||||
| Mark Giambrone 3 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 8 | | | |
$4,111.3 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$166.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 31 | | | |
$4,716.3 million |
| | | | 0 | | | |
$0 |
|
| Brad Kinkelaar 4 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 2 | | | |
$568.1 million |
| | | | 1 | | | |
$72.9 million |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$156.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$1,826.2 million |
| | | | 0 | | | |
$0 |
|
| Pranay Laharia | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Michael B. Nayfa 5 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 2 | | | |
$1,390.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$815.8 million |
| | | | 0 | | | |
$0 |
|
| Terry L. Pelzel 6 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 3 | | | |
$1,408.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5 | | | |
$1,009.5 million |
| | | | 0 | | | |
$0 |
|
| Brian F. Quinn | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 1 | | | |
$189.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$5.1
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$741.9 million |
| | | | 0 | | | |
$0 |
|
| Lewis Ropp 7 | | ||||||||||||||||||
|
Registered investment
companies 2
|
| | | | 2 | | | |
$710.6 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$171.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 35 | | | |
$3,756.4 million |
| | | | 1 | | | |
$318.5 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Coleman Hubbard | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 1 | | | |
$260.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$28.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$168.4 million |
| | | | 0 | | | |
$0 |
|
| James S. McClure | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 1 | | | |
$260.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$28.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$168.4 million |
| | | | 0 | | | |
$0 |
|
| DJ Taylor | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 1 | | | |
$260.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$28.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$168.4 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| David T. Cohen | | | | | | | | | | | | | | | | | | | |
|
Registered
investment companies** |
| | | | 3 | | | |
$11,573,275,554 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$2,423,483,480 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 196 | | | |
$12,156,396,246 |
| | | | 4 | | | |
$852,956,849 |
|
| Mark E. Donovan | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 3 | | | |
$11,573,275,554 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$2,423,483,480 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 196 | | | |
$12,156,396,246 |
| | | | 4 | | | |
$852,956,849 |
|
| David J. Pyle | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 3 | | | |
$11,573,275,554 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$2,423,483,480 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 196 | | | |
$12,156,396,246 |
| | | | 4 | | | |
$852,956,849 |
|
| Joshua White | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 3 | | | |
$11,573,275,554 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$2,423,483,480 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 196 | | | |
$12,156,396,246 |
| | | | 4 | | | |
$852,956,849 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Tracy Chen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 14 | | | |
$4,948.529,463 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 45 | | | |
$9,944,932,156 |
| | | | 1 | | | |
$243,348,571 |
|
|
Other
accounts |
| | | | 50 | | | |
$11,768,062,736 |
| | | | 9 | | | |
$7,936,489,431 |
|
| Brian Kloss | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 14 | | | |
$4,948,529,463 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 45 | | | |
$9,944,932,156 |
| | | | 1 | | | |
$243,348,571 |
|
|
Other
accounts |
| | | | 50 | | | |
$11,768,062,736 |
| | | | 9 | | | |
$7,936,489,431 |
|
| Jack McIntyre | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 12 | | | |
$4,562,518,967 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 45 | | | |
$9,861,663,065 |
| | | | 1 | | | |
$243,348,571 |
|
|
Other
accounts |
| | | | 51 | | | |
$12,445,553,458 |
| | | | 9 | | | |
$7,936,489,431 |
|
| Anujeet Sareen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 12 | | | |
$4,562,518,967 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 45 | | | |
$9,861,663,065 |
| | | | 1 | | | |
$243,348,571 |
|
|
Other
accounts |
| | | | 51 | | | |
$12,445,553,458 |
| | | | 9 | | | |
$7,936,489,431 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Joseph J. Kirby | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 5 | | | |
$5,363,208,712 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$62,948,386 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$12,021,463 |
| | | | 0 | | | |
$0 |
|
| Henry F. Otto | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 7 | | | |
$6,328,664,707 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 10 | | | |
$202,895,386 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 39 | | | |
$734,298,565 |
| | | | 1 | | | |
$44,270,682 |
|
| Steven M. Tonkovich | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 7 | | | |
$6,328,664,707 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 10 | | | |
$202,895,386 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 35 | | | |
$734,298,565 |
| | | | 1 | | | |
$44,270,682 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ravi Dabas | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 2 | | | |
$2.072 billion |
| | | | 1 | | | |
$1.131 billion |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$101.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$618.6 million |
| | | | 1 | | | |
$422.6 million |
|
| Christopher J. Scarpa | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 2 | | | |
$2.072 billion |
| | | | 1 | | | |
$1.131 billion |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$101.9 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$618.6 million |
| | | | 1 | | | |
$422.6 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| David G. Herro | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 13 | | | |
$23.87 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 46 | | | |
$21.30 billion |
| | | | 2 | | | |
$0.69 billion |
|
|
Other
accounts |
| | | | 24 | | | |
$3.90 billion |
| | | | 0 | | | |
$0 |
|
| Michael L. Manelli | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 9 | | | |
$21.15 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$2.81 billion |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 13 | | | |
$1.36 billion |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ash Shah | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 5 | | | |
$7,889.3 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$74.4
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Ronald Zibelli, Jr. | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 8 | | | |
$14,025.1 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$127.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1*** | | | |
$0.1
million |
| | | | 0 | | | |
$0 |
|
Sub-Adviser |
| |
Performance time
period 1 |
|
Invesco Advisers 2 | | | One-, Three- and Five-year performance against fund peer group. | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Christopher M. Ericksen | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 1 | | | |
$214 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$49 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 7 | | | |
$4
million |
| | | | 1 | | | |
$81 million |
|
| William Montana | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 1 | | | |
$214 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$49 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$4
million |
| | | | 1 | | | |
$81 million |
|
|
Brian Tolles |
| | | | | | | | | | | | | | | | | | |
|
Registered
investment companies** |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 10 | | | |
$54 million |
| | | | 0 | | | |
$0 |
|
| Jeffrey S. Van Harte | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 1 | | | |
$214 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$49 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 10 | | | |
$40 million |
| | | | 1 | | | |
$81 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Aziz V. Hamzaogullari | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 29 | | | |
$18.8 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 21 | | | |
$9.3 billion |
| | | | 3 | | | |
$275.8 million |
|
|
Other
accounts |
| | | | 138 | | | |
$22.3 billion |
| | | | 1 | | | |
$260.2 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Filipe Benzinho | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 6 | | | |
$10.9 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$4.7 billion |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 28 | | | |
$4.9 billion |
| | | | 0 | | | |
$0 |
|
| Daniel Ling | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 6 | | | |
$10.9 billion |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$4.7 billion |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 28 | | | |
$4.9 billion |
| | | | 0 | | | |
$0 |
|
Portfolio Manager |
| |
Benchmark(s) |
|
Filipe Benzinho | | | MSCI EAFE Index (net div) | |
Daniel Ling | | | MSCI EAFE Index (net div) | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Stephen M. Kane | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 33 | | | |
$97,322.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 19 | | | |
$11,413.2 million |
| | | | 3 | | | |
$477.9 million |
|
|
Other
accounts |
| | | | 180 | | | |
$41,302.3 million |
| | | | 10 | | | |
$5,091.3 million |
|
| Laird R. Landmann | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 30 | | | |
$100,883.4 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 44 | | | |
$15,540.2 million |
| | | | 25 | | | |
$3,858.0 million |
|
|
Other
accounts |
| | | | 196 | | | |
$49,809.4 million |
| | | | 10 | | | |
$7,258.6 million |
|
| Bryan T. Whalen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 30 | | | |
$99,955.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 40 | | | |
$14,133.5 million |
| | | | 18 | | | |
$848.5 million |
|
|
Other
accounts |
| | | | 203 | | | |
$51,316.0 million |
| | | | 13 | | | |
$8,186.8 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Brent Reeder | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 15 | | | |
$26,263,525,557 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| George D. Mussalli | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 1 | | | |
$190,393,977 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 10 | | | |
$8,658,299,399 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 54 | | | |
$6,847,375,095 |
| | | | 8 | | | |
$2,749,578,224 |
|
| Richard Tan | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 4 | | | |
$5,499,098,327 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 35 | | | |
$3,323,279,789 |
| | | | 4 | | | |
$798,307,346 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Wesley A. Johnston | | | | | | | | | | | | | | | | | | | |
|
Registered
investment companies** |
| | | | 2 | | | |
$2,360.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 9 | | | |
$932.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 301 | | | |
$8,173.4 million |
| | | | 15 | | | |
$511.6 million |
|
| Frank M. Sands | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 2 | | | |
$2,360.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$932.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 289 | | | |
$8,073.8 million |
| | | | 7 | | | |
$448.8 million |
|
| Thomas H. Trentman | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 2 | | | |
$2,360.2 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 11 | | | |
$942.5 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 307 | | | |
$8,986.5 million |
| | | | 16 | | | |
$593.6 million |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| R. Michael Creager | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 4 | | | |
$2,085.7 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$133.3 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 18 | | | |
$1,347.7 million |
| | | | 0 | | | |
$0 |
|
| Brett P. Hawkins | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 5 | | | |
$2,121.0 million |
| | | | 0 | | | �� |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 3 | | | |
$233.8 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 31 | | | |
$2,330.1 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John D. Linehan | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 17 | | | |
$36,635,738,107 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 31 | | | |
$20,350,823,137 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 13 | | | |
$2,346,488,381 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John D. Linehan | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 17 | | | |
$36,576,672,669 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 31 | | | |
$20,350,823,137 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 13 | | | |
$2,346,488,381 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Paul D. Greene II | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 9 | | | |
$45,000,892,070 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 30 | | | |
$31,038,116,554 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 6 | | | |
$2,995,106,635 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Brian W. H. Berghuis | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 8 | | | |
$42,258,259,133 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 6 | | | |
$9,805,424,944 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 3 | | | |
$392,809,908 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Malik Asif | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$9,381,717,344 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 13 | | | |
$11,632,192,669 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 2 | | | |
$282,725,932 |
| | | | 0 | | | |
$0 |
|
|
Richard N. Clattenburg |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 4 | | | |
$13,124,547,687 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 3 | | | |
$9,294,138,759 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Colin McQueen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 2 | | | |
$9,876,450,586 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 1 | | | |
$8,897,208,467 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Raymond A. Mills | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 6 | | | |
$20,418,573,312 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$10,583,251,476 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,266,570,982 |
| | | | 1 | | | |
$489,599,795 |
|
| Eric Moffett | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 5 | | | |
$9,381,717,344 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$8,363,490,701 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 2 | | | |
$282,725,932 |
| | | | 0 | | | |
$0 |
|
| Ernest C. Yeung | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$4,459,442,744 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$4,425,669,045 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Donald J. Kilbride | | | | | | | | | | | | | | | | | | | |
|
Registered
investment companies** |
| | | | 11 | | | |
$58,437,623,499 |
| | | | 2 | | | |
$47,832,999,381 |
|
|
Other
pooled investment vehicles |
| | | | 9 | | | |
$490,120,297 |
| | | | 3 | | | |
$155,960,819 |
|
|
Other
accounts |
| | | | 25 | | | |
$2,908,797,852 |
| | | | 3 | | | |
$693,074,674 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Timothy N. Manning | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$2,356,471,400 |
| | | | 1 | | | |
$1,056,976,763 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$2,176,541,072 |
| | | | 1 | | | |
$334,867 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,306,861,302 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Edmond C. Griffin | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 3 | | | |
$889,697,889 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$718,513,057 |
| | | | 1 | | | |
$119,914,422 |
|
|
Other
accounts |
| | | | 17 | | | |
$1,416,970,234 |
| | | | 0 | | | |
$0 |
|
| Shaun F. Pedersen | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 4 | | | |
$935,537,290 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$718,513,057 |
| | | | 1 | | | |
$119,914,422 |
|
|
Other
accounts |
| | | | 17 | | | |
$1,416,970,234 |
| | | | 0 | | | |
$0 |
|
| Danielle S. Williams | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 3 | | | |
$889,697,889 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$718,513,057 |
| | | | 1 | | | |
$119,914,422 |
|
|
Other
accounts |
| | | | 17 | | | |
$1,416,970,234 |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Daniel J. Fitzpatrick | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$7,038,966,006 |
| | | | 1 | | | |
$6,967,990,953 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$789,609,537 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 8 | | | |
$2,069,432,201 |
| | | | 1 | | | |
$40,036,774 |
|
| Ranjit Ramachandran | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 5 | | | |
$1,344,035,469 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 10 | | | |
$55,116,320 |
| | | | 2 | | | |
$2,858,469 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,646,819 |
| | | | 1 | | | |
$1,922 |
|
| John V. Schneider | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 4 | | | |
$1,343,652,931 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$46,486,378 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
Fund |
| |
Benchmark and/or Peer
Group
|
|
Equity Opportunities Fund | | | Russell 1000 Index | |
Fundamental Growth Fund | | |
Russell Midcap Growth Index
|
|
Small Cap Value Equity Fund | | | Russell 2500 Value Index | |
Small Cap Growth Equity Fund (portfolio managed by Mr. Fitzpatrick) | | | Russell 2000 Index | |
Small Cap Growth Equity Fund (portfolio managed by Messrs. Ramachandran and Schneider) | | | Russell 2000 Growth Index | |
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| John L. Bellows | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 21 | | | |
$53,629,768,987 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 21 | | | |
$9,947,870,906 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 176 | | | |
$52,953,404,304 |
| | | | 6 | | | |
$3,918,891,830 |
|
| S. Kenneth Leech | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 97 | | | |
$132,708,039,580 |
| | | | 0 | | | |
$0
|
|
|
Other
pooled investment vehicles |
| | | | 328 | | | |
$68,710,693,474 |
| | | | 27 | | | |
$2,750,844,821 |
|
|
Other
accounts |
| | | | 635 | | | |
$174,059,813,646 |
| | | | 26 | | | |
$14,989,306,199 |
|
| Mark S. Lindbloom | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 29 | | | |
$60,186,066,986 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 25 | | | |
$12,930,292,624 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 186 | | | |
$55,842,735,261 |
| | | | 7 | | | |
$4,698,316,039 |
|
| Frederick R. Marki | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 25 | | | |
$55,410,724,480 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 25 | | | |
$12,377,660,957 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 183 | | | |
$57,546,975,745 |
| | | | 8 | | | |
$6,099,528,494 |
|
| Julien A. Scholnick | | ||||||||||||||||||
|
Registered investment companies**
|
| | | | 23 | | | |
$57,461,123,438 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 20 | | | |
$9,904,314,096 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 171 | | | |
$51,746,542,601 |
| | | | 6 | | | |
$3,918,891,830 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Richard D. Lee | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 7 | | | |
$2,828 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$1,249 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 216 | | | |
$7,588 million |
| | | | 22 | | | |
$1,607 million |
|
| Ethan J. Meyers | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 7 | | | |
$2,828 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$1,249 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 216 | | | |
$7,588 million |
| | | | 22 | | | |
$1,607 million |
|
| William D. Muggia | | ||||||||||||||||||
|
Registered
investment companies** |
| | | | 8 | | | |
$2,841 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 10 | | | |
$1,297 million |
| | | | 1 | | | |
$29
million |
|
|
Other
accounts |
| | | | 266 | | | |
$8,452 million |
| | | | 25 | | | |
$2,046 million |
|