|
Ticker
Symbols by Share Class | |||||||||
Fund |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
S |
Blue
Chip |
PBLAX |
PBLCX |
PBCJX |
PBCKX |
|
PGBEX |
PGBFX |
PGBGX |
PGBHX |
|
Bond
Market Index |
|
|
PBIJX |
PNIIX |
PBIMX |
PBOIX |
PBIPX |
PBIQX |
|
|
Capital
Securities |
|
|
|
|
|
|
|
|
|
PCSFX |
Diversified
Real Asset |
PRDAX |
|
|
PDRDX |
|
PGDRX |
|
PGDTX |
PDARX |
|
Edge
MidCap |
PEMCX |
|
|
PEDGX |
|
|
|
|
PEDMX |
|
Global
Multi-Strategy |
PMSAX |
|
|
PSMIX |
|
|
|
|
PGLSX |
|
Global
Sustainable Listed Infrastructure |
|
|
|
PGSLX |
|
|
|
|
|
|
International
Equity Index |
|
|
|
PIDIX |
PILIX |
PIIOX |
PIIPX |
PIIQX |
PFIEX |
|
International
Small Company |
|
|
|
PISMX |
|
|
|
|
PFISX |
|
Opportunistic
Municipal |
PMOAX |
|
|
POMFX |
|
|
|
|
|
|
Origin
Emerging Markets |
POEYX |
|
|
POEIX |
|
|
|
|
POEFX |
|
Small-MidCap
Dividend Income |
PMDAX |
PMDDX |
|
PMDIX |
|
|
|
|
PMDHX |
|
Small-MidCap
Growth |
|
|
|
PSMHX |
|
|
|
|
|
|
Spectrum
Preferred and Capital Securities
Income |
PPSAX |
PRFCX |
PPSJX |
PPSIX |
PUSAX |
PNARX |
PQARX |
PPARX |
PPREX |
|
|
Share
Class | |||||||||
Fund |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
S |
Blue
Chip |
X |
X |
X |
X |
|
X |
X |
X |
X |
|
Bond
Market Index |
|
|
X |
X |
X |
X |
X |
X |
|
|
Capital
Securities |
|
|
|
|
|
|
|
|
|
X |
Diversified
Real Asset |
X |
|
|
X |
|
X |
|
X |
X |
|
Edge
MidCap |
X |
|
|
X |
|
|
|
|
X |
|
Global
Multi-Strategy |
X |
|
|
X |
|
|
|
|
X |
|
Global
Sustainable Listed Infrastructure |
|
|
|
X |
|
|
|
|
|
|
International
Equity Index |
|
|
|
X |
X |
X |
X |
X |
X |
|
International
Small Company |
|
|
|
X |
|
|
|
|
X |
|
Opportunistic
Municipal |
X |
|
|
X |
|
|
|
|
|
|
Origin
Emerging Markets |
X |
|
|
X |
|
|
|
|
X |
|
Small-MidCap
Dividend Income |
X |
X |
|
X |
|
|
|
|
X |
|
Small-MidCap
Growth |
|
|
|
X |
|
|
|
|
|
|
Spectrum
Preferred and Capital Securities Income |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Share
Class |
Maximum
Annualized
12b-1
Fee |
A(1)
|
0.25% |
C(1)
|
1.00% |
J(1)
|
0.15% |
R-1 |
0.35% |
R-3 |
0.25% |
R-4 |
0.10% |
Fund |
Paid
by Fund to PFD
(amounts
in thousands) |
Paid
by PFD to
Financial
Intermediaries
(amounts
in thousands) |
Retained
by PFD
(amounts
in thousands) |
Blue
Chip |
$6,349 |
$5,839 |
$510 |
Bond
Market Index |
83 |
76 |
7 |
Capital
Securities |
— |
— |
— |
Diversified
Real Asset |
299 |
281 |
18 |
Edge
MidCap |
48 |
46 |
2 |
Global
Multi-Strategy |
96 |
96 |
— |
Fund |
Paid
by Fund to PFD
(amounts
in thousands) |
Paid
by PFD to
Financial
Intermediaries
(amounts
in thousands) |
Retained
by PFD
(amounts
in thousands) |
International
Equity Index |
46 |
40 |
6 |
International
Small Company |
— |
— |
— |
Opportunistic
Municipal |
143 |
133 |
10 |
Origin
Emerging Markets |
18 |
18 |
— |
Small-MidCap
Dividend
Income |
958 |
947 |
11 |
Small-MidCap
Growth |
— |
— |
— |
Spectrum
Preferred and
Capital
Securities Income |
4,544 |
4,257 |
287 |
Underwriting
Fees for Periods Ended August 31
(amounts
in thousands) | ||||||
|
2022 |
2021 |
2020 | |||
Fund |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Blue
Chip |
$2,423 |
$467 |
$3,115 |
$563 |
$3,419 |
$622 |
Bond
Market Index |
1 |
1 |
6 |
6 |
1 |
1 |
Capital
Securities |
— |
— |
— |
— |
— |
— |
Diversified
Real Asset |
147 |
30 |
30 |
6 |
12 |
3 |
Edge
MidCap |
55 |
8 |
73 |
11 |
75 |
12 |
Global
Multi-Strategy |
8 |
2 |
5 |
1 |
6 |
1 |
International
Equity Index |
— |
— |
— |
— |
— |
— |
International
Small Company |
— |
— |
7 |
1 |
12 |
2 |
Opportunistic
Municipal |
26 |
4 |
14 |
6 |
26 |
9 |
Origin
Emerging Markets |
17 |
3 |
42 |
7 |
13 |
2 |
Small-MidCap
Dividend Income |
81 |
17 |
113 |
21 |
123 |
22 |
Small-MidCap
Growth |
— |
— |
— |
— |
— |
— |
Spectrum
Preferred and Capital Securities
Income |
455 |
222 |
727 |
245 |
927 |
265 |
Fund |
2022
Turnover |
2021
Turnover |
Comments |
Global
Multi-Strategy |
123.2% |
289.8% |
Turnover
decreased in 2022 due to limited asset allocation and underlying
sub-advisor
changes
relative to 2021. |
Small-MidCap
Dividend Income |
22.1% |
74.6% |
A
large shareholder redemption in 2021 caused higher turnover in 2021
relative to
2022. |
Committee
and
Independent
Board
Members |
Primary
Purpose and Responsibilities |
Meetings
Held
During
the Last
Fiscal
Year |
15(c)
Committee
Karrie
McMillan, Chair
Fritz
S. Hirsch
Padel
L. Lattimer
Meg
VanDeWeghe |
The
Committee’s primary purpose is to assist the Board in performing the
annual review of the
Funds’
advisory and sub-advisory agreements pursuant to Section 15(c) of the 1940
Act. The
Committee
is responsible for requesting and reviewing related
materials. |
6 |
Audit
Committee
Victor
Hymes, Chair
Leroy
T. Barnes, Jr.
Elizabeth
A. Nickels
Meg
VanDeWeghe |
The
Committee’s primary purpose is to assist the Board by serving as an
independent and
objective
party to monitor the Fund Complex’s accounting policies, financial
reporting, and
internal
control system, as well as the work of the independent registered public
accountants.
The
Audit Committee assists Board oversight of 1) the integrity of the Fund
Complex’s financial
statements;
2) the Fund Complex’s compliance with certain legal and regulatory
requirements;
3)
the independent registered public accountants’ qualifications and
independence; and 4) the
performance
of the Fund Complex’s independent registered public accountants. The Audit
Committee
also provides an open avenue of communication among the independent
registered
public
accountants, PGI’s internal auditors, Fund Complex management, and the
Board. |
10 |
Executive
Committee
Timothy
M. Dunbar, Chair
Craig
Damos
Patrick
G. Halter |
The
Committee’s primary purpose is to exercise certain powers of the Board
when the Board is
not
in session. When the Board is not in session, the Committee may exercise
all powers of the
Board
in the management of the Fund Complex’s business except the power to 1)
issue stock,
except
as permitted by law; 2) recommend to the shareholders any action that
requires
shareholder
approval; 3) amend the bylaws; or 4) approve any merger or share exchange
that
does
not require shareholder approval. |
None |
Committee
and
Independent
Board
Members |
Primary
Purpose and Responsibilities |
Meetings
Held
During
the Last
Fiscal
Year |
Nominating
and
Governance
Committee
Elizabeth
A. Nickels, Chair
Craig
Damos
Fritz
S. Hirsch
Victor
Hymes |
The
Committee’s primary purpose is to oversee the structure and efficiency of
the Board and the
committees.
The Committee is responsible for evaluating Board membership and
functions,
committee
membership and functions, insurance coverage, and legal matters. The
Committee’s
nominating
functions include selecting and nominating Independent Board Member
candidates
for
election to the Board. Generally, the Committee requests nominee
suggestions from Board
Members
and management. In addition, the Committee considers candidates
recommended by
shareholders
of the Fund Complex. Recommendations should be submitted in writing to the
Principal
Funds Complex Secretary, in care of the Principal Funds Complex, 711 High
Street,
Des
Moines, IA 50392. Such recommendations must include all information
specified in the
Committee’s
charter and must conform with the procedures set forth in Appendix A
thereto,
which
can be found at https://secure02.principal.com/publicvsupply/
GetFile?fm=MM13013&ty=VOP&EXT=.VOP.
Examples of such information include the
nominee’s
biographical information; relevant educational and professional background
of the
nominee;
the number of shares of each Fund owned of record and beneficially by the
nominee
and
by the recommending shareholder; any other information regarding the
nominee that would
be
required to be disclosed in a proxy statement or other filing required to
be made in connection
with
the solicitation of proxies for the election of board members; whether the
nominee is an
“interested
person” of the Funds as defined in the 1940 Act; and the written consent
of the
nominee
to be named as a nominee and serve as a board member if
elected.
When
evaluating a potential nominee for Independent Board Member, the Committee
may
consider,
among other factors: educational background; relevant business and
industry
experience;
whether the person is an “interested person” of the Funds as defined in
the 1940
Act;
and whether the person is willing to serve, and willing and able to commit
the time necessary
to
attend meetings and perform the duties of an Independent Board Member. In
addition, the
Committee
may consider whether a candidate’s background, experience, skills and
views would
complement
the background, experience, skills and views of other Board Members and
would
contribute
to the diversity of the Board. The Committee meets with nominees and
conducts a
reference
check. The final decision is based on a combination of factors, including
the strengths
and
the experience an individual may bring to the Board. The Board does not
regularly use the
services
of professional search firms to identify or evaluate potential candidates
or nominees. |
5 |
Operations
Committee
Padel
L. Lattimer, Chair
Craig
Damos
Karrie
McMillan |
The
Committee’s primary purpose is to review and oversee the provision of
administrative and
distribution
services to the Fund Complex, communications with the Fund Complex’s
shareholders,
and the Fund Complex’s operations. |
5 |
INDEPENDENT
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Board
Positions Held
with
Fund Complex |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Leroy
T. Barnes, Jr.
711
High Street
Des
Moines, IA 50392
1951 |
Director,
PFI and PVC (since 2012) |
Retired |
131 |
Formerly:
McClatchy
Newspapers,
Inc.;
Frontier
Communi-
cations,
Inc. |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Craig
Damos
711
High Street
Des
Moines, IA 50392
1954 |
Lead
Independent Board Member
(since
2020) |
President,
C.P. Damos
Consulting,
LLC (consulting
services) |
131 |
None |
Director,
PFI and PVC (since 2008) | ||||
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Fritz
S. Hirsch
711
High Street
Des
Moines, IA 50392
1951 |
Director,
PFI and PVC (since 2005) |
February
2020 to October
2020,
Interim CEO, MAM
USA
(manufacturer of infant
and
juvenile products) |
131 |
MAM
USA |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Victor
Hymes
711
High Street
Des
Moines, IA 50392
1957 |
Director,
PFI and PVC (since 2020) |
Founder
and Managing
Member,
Legato Capital
Management,
LLC
(investment
management
company) |
131 |
Formerly,
Montgomery
Street
Income Securities
Inc. |
Trustee,
PDSRA and PETF
(since
2020) | ||||
| ||||
Padelford
(“Padel”) L.
Lattimer
711
High Street
Des
Moines, IA 50392
1961 |
Director,
PFI and PVC (since 2020) |
Managing
Partner, TBA
Management
Consulting
LLC
(management
consulting
and staffing
company) |
131 |
None |
Trustee,
PDSRA and PETF
(since
2020) | ||||
Karen
(“Karrie”) McMillan
711
High Street
Des
Moines, IA 50392
1961 |
Director,
PFI and PVC (since 2014) |
Founder/Owner,
Tyche
Consulting
LLC (consulting
services)
Formerly,
Managing
Director,
Patomak Global
Partners,
LLC
(financial
services
consulting) |
131 |
None |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Elizabeth
A. Nickels
711
High Street
Des
Moines, IA 50392
1962 |
Director,
PFI and PVC (since 2015) |
Retired |
131 |
SpartanNash |
Trustee,
PETF (since 2015) | ||||
Trustee,
PDSRA (since 2019) | ||||
Mary
M. (“Meg”)
VanDeWeghe
711
High Street
Des
Moines, IA 50392
1959 |
Director,
PFI and PVC (since 2018) |
CEO
and President, Forte
Consulting,
Inc. (financial
and
management
consulting) |
131 |
Helmerich
& Payne;
Formerly:
Brown
Advisory;
Denbury
Resources
Inc. |
Trustee,
PETF (since 2018) | ||||
Trustee,
PDSRA (since 2019) |
INTERESTED
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Board
Positions Held
with
Fund Complex |
Positions
with PGI
and
its affiliates;
Principal
Occupation(s)
During
Past 5 Years**
(unless
noted otherwise) |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Timothy
M. Dunbar
711
High Street
Des
Moines, IA 50392
1957 |
Chair
(since 2019) |
PGI President
(2018-2021)
Director
(2018-2020) PFGI,
PFSI, and PLIC Division
President (2020-2021)
President
(2018-2020)
Executive
Vice President and
Chief
Investment Officer (2014-2018) Post Director
(2018-2020) RobustWealth Chair
and Executive Vice President
(2018-2021) |
131 |
None |
Director,
PFI and PVC (since 2019) | ||||
Trustee,
PDSRA and PETF
(since
2019) | ||||
Patrick
G. Halter
711
High Street
Des
Moines, IA 50392
1959 |
Director,
PFI and PVC (since 2017) |
PGI Chair
(since 2018)
Chief
Executive Officer and
President
(since 2018)
Chief
Operating Officer (2017-2018)
Director
(since 2003) PFGI,
PFSI, and PLIC President
and Chief Executive
Officer
- PAM (since 2022)
President
- PGAM (2020-2022) Post Director
(since 2017)
Chair
(2017-2020) Principal-REI President
- PGAM (since 2022)
Director
and Chair (since 2004)
Chief
Executive Officer and
President
(2018-2021)
Chief
Executive Officer (2005-2018) Origin Director
(2018-2019) |
131 |
None |
Trustee,
PETF (since 2017) | ||||
Trustee,
PDSRA (since 2019) |
FUND
COMPLEX OFFICERS | ||
Name,
Address
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Kamal
Bhatia
711
High Street
Des
Moines, IA 50392
1972 |
President
and Chief Executive Officer
(since
2019) |
PGI Director
(since 2019)
President-Principal
Funds (since 2019) PFD Director
(since 2019) PFGI,
PFSI, and PLIC Senior
Executive Director and Chief Operating Officer - PAM (since
2022)
Senior
Executive Director and Chief Operating Officer - PGI
(2020-2022)
President-Principal
Funds (2019-2020) Post Director
(since 2020) Principal-REI Senior
Executive Director and Chief Operating Officer - PGI
(since
2022)
Director
(since 2020) PSS Executive
Vice President (since 2019)
Director
and Chair (2019-2022) Spectrum Director
(since 2021) Origin Additional
Director (since 2022) Oppenheimer
Funds Senior
Vice President (2011-2019) |
Randy
D. Bolin
711
High Street
Des
Moines, IA 50392
1961 |
Assistant
Tax Counsel (since 2020) |
Vice
President/Associate General Counsel, PGI (since 2016)
Vice
President/Associate General Counsel, PFSI (since 2013)
Vice
President/Associate General Counsel, PLIC (since
2013) |
Beth
Graff
711
High Street
Des
Moines, IA 50392
1968 |
Vice
President and Assistant Controller
(since
2021) |
Director
–
Fund Accounting, PLIC (since 2016) |
Gina
L. Graham
711
High Street
Des
Moines, IA 50392
1965 |
Treasurer
(since 2016) |
Vice
President and Treasurer, PGI (since 2016)
Vice
President and Treasurer, PFD (since 2016)
Vice
President and Treasurer, PFSI (since 2016)
Vice
President and Treasurer, PLIC (since 2016)
Vice
President and Treasurer, Principal - REI (since 2017)
Vice
President and Treasurer, PSI (since 2016)
Vice
President and Treasurer, PSS (since 2016)
Vice
President and Treasurer, RobustWealth, Inc. (since
2018) |
Megan
Hoffmann
711
High Street
Des
Moines, IA 50392
1979 |
Vice
President and Controller
(since
2021) |
Director
–
Accounting, PLIC (since 2020)
Assistant
Director –
Accounting, PLIC (2017-2020) |
Laura
B. Latham
711
High Street
Des
Moines, IA 50392
1986 |
Assistant
Counsel and Assistant
Secretary
(since 2018) |
Counsel,
PGI (since 2018)
Counsel,
PLIC (since 2018) |
Diane
K. Nelson
711
High Street
Des
Moines, IA 50392
1965 |
AML
Officer (since 2016) |
Chief
Compliance Officer/AML Officer, PSS (since 2015) |
Tara
Parks
711
High Street
Des
Moines, IA 50392
1983 |
Vice
President and Assistant Controller
(since
2021) |
Director
–
Accounting, PLIC (since 2019)
Tax
Manager –
ALPS Fund Services (2011-2019) |
Deanna
Y. Pellack
711
High Street
Des
Moines, IA 50392
1987 |
Assistant
Counsel and Assistant
Secretary
(since 2022) |
Counsel,
PLIC (since 2022)
Vice
President, The Northern Trust Company (2019-2022)
Second
Vice President, The Northern Trust Company (2014-2019)
Secretary,
Advisers Investment Trust (2021-2022)
Assistant
Secretary, Advisers Investment Trust
(2018-2021) |
FUND
COMPLEX OFFICERS | ||
Name,
Address
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Sara
L. Reece
711
High Street
Des
Moines, IA 50392
1975 |
Vice
President and Chief Operating
Officer
(since 2021)
Vice
President and Controller
(2016-2021) |
Managing
Director –
Global Fund Ops, PLIC (since 2021)
Managing
Director –
Financial Analysis/ Planning, PLIC (2021)
Director
–
Accounting, PLIC (2015-2021) |
Teri
R. Root
711
High Street
Des
Moines, IA 50392
1979 |
Chief
Compliance Officer (since 2018)
Interim
Chief Compliance Officer
(2018)
Deputy
Chief Compliance Officer
(2015-2018) |
Chief
Compliance Officer - Funds, PGI (since 2018)
Deputy
Chief Compliance Officer, PGI (2017-2018)
Vice
President, PSS (since 2015) |
Michael
Scholten
711
High Street
Des
Moines, IA 50392
1979 |
Chief
Financial Officer (since 2021) |
Chief
Operations Officer, PFD (since 2022)
Chief
Financial Officer, PFD (2016-2022)
Assistant
Vice President and Actuary, PLIC (since 2021)
Chief
Financial Officer –
Funds/Platforms, PLIC (since 2015)
Chief
Financial Officer, PSS (since 2015) |
Adam
U. Shaikh
711
High Street
Des
Moines, IA 50392
1972 |
Assistant
Secretary (since 2022)
Assistant
Counsel (since 2006) |
Assistant
General Counsel, PGI (since 2018)
Counsel,
PGI (2017-2018)
Counsel,
PLIC (since 2006) |
John
L. Sullivan
711
High Street
Des
Moines, IA 50392
1970 |
Assistant
Counsel and Assistant
Secretary
(since 2019) |
Counsel,
PGI (since 2020)
Counsel,
PLIC (since 2019)
Prior
thereto, Attorney in Private Practice |
Dan
L. Westholm
711
High Street
Des
Moines, IA 50392
1966 |
Assistant
Treasurer (since 2006) |
Assistant
Vice President-Treasury, PGI (since 2013)
Assistant
Vice President-Treasury, PFD (since 2013)
Assistant
Vice President-Treasury, PLIC (since 2014)
Assistant
Vice President-Treasury, PSI (since 2013)
Assistant
Vice President-Treasury, PSS (since 2013) |
Beth
C. Wilson
711
High Street
Des
Moines, IA 50392
1956 |
Vice
President and Secretary
(since
2007) |
Director
and Secretary-Funds, PLIC (since
2007) |
FUND
COMPLEX OFFICERS | ||
Name,
Address
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Clint
L. Woods
711
High Street
Des
Moines, IA 50392
1961 |
Counsel,
Vice President, and Assistant
Secretary
(since 2018)
Of
Counsel (2015-2018) |
PGI Vice
President, Associate General Counsel, and Assistant Secretary
(since
2021)
Vice
President, Associate General Counsel, and Secretary
(2020-2021)
Vice
President, Associate General Counsel, Governance Officer, and
Assistant
Corporate Secretary (2018-2020) PFD Vice
President, Associate General Counsel, and Secretary (since
2022)
Vice
President, Associate General Counsel, and
Assistant
Corporate Secretary (2019-2022) PFSI Vice
President, Associate Counsel, Governance Officer, and
Assistant
Corporate Secretary (since 2015) PLIC Vice
President, Associate General Counsel, Governance Officer, and
Assistant
Corporate Secretary (since 2015) Post Assistant
Secretary (since 2021)
Secretary
(2020-2021) Principal-REI Vice
President, Associate General Counsel, Governance Officer,
and
Secretary (since 2020)
Vice
President, Associate Counsel, Governance Officer, and
Assistant
Corporate Secretary (2020) PSI Vice
President, Associate General Counsel, and Secretary
(2021-2022)
Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(2019-2021) PSS Vice
President, Associate General Counsel, and Secretary (since
2021)
Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(2019-2021) RobustWealth,
Inc. Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(since 2019) Spectrum Assistant
Secretary (since 2021)
Secretary
(2020-2021) |
Jared
A. Yepsen
711
High Street
Des
Moines, IA 50392
1981 |
Assistant
Tax Counsel (since 2017) |
Counsel,
PGI (2017-2019)
Counsel,
PLIC (since 2015) |
A |
$0 |
B |
$1
up to and including $10,000 |
C |
$10,001
up to and including $50,000 |
D |
$50,001
up to and including $100,000 |
E |
$100,001
or more |
|
Independent
Board Members | |||||||
Fund |
Barnes |
Damos |
Hirsch |
Hymes |
Lattimer |
McMillan |
Nickels |
VanDeWeghe |
Blue
Chip |
A |
E |
C |
A |
A |
E |
E |
E |
Diversified
Real Asset |
A |
A |
D |
A |
A |
A |
A |
A |
Spectrum
Preferred and Capital Securities Income |
A |
E |
A |
A |
A |
A |
A |
A |
Total
Fund Complex |
E |
E |
E |
E |
A |
E |
E |
E |
Interested
Board Members | ||
|
Dunbar |
Halter |
Funds
in this SAI |
A |
A |
Total
Fund Complex |
E |
E |
Board
Member |
Funds
in this SAI(1)
|
Fund
Complex |
Leroy
T. Barnes, Jr. |
$44,379 |
$308,000 |
Craig
Damos |
$52,208 |
$362,500 |
Fritz
S. Hirsch |
$47,370 |
$328,750 |
Victor
Hymes |
$46,699 |
$324,250 |
Padelford
(“Padel”) L. Lattimer |
$45,024 |
$312,500 |
Karen
(“Karrie”) McMillan |
$46,454 |
$322,500 |
Elizabeth
A. Nickels |
$48,154 |
$334,250 |
Mary
M. (“Meg”) VanDeWeghe |
$45,454 |
$315,500 |
Sub-Advisor: |
BlackRock
Financial Management, Inc. (“BlackRock”)
is an indirect wholly-owned subsidiary of
BlackRock,
Inc. BlackRock and its affiliates manage investment company and other
portfolio assets. |
|
Sub-Sub-Advisor: BlackRock
International Limited
is an indirect wholly-owned subsidiary of
BlackRock,
Inc. |
Fund(s): |
a
portion of the assets of Diversified Real Asset |
Sub-Advisor: |
ClearBridge
Investments (North America) Pty Limited (“ClearBridge”)
is an indirect wholly-owned
subsidiary
of Franklin Resources, Inc. |
Fund(s): |
a
portion of the assets of Diversified Real Asset |
Sub-Advisor: |
CoreCommodity
Management, LLC (“CoreCommodity”)
is a wholly-owned subsidiary of
CoreCommodity
Capital, LLC. CoreCommodity is controlled by its senior management, which
owns
100%
of the voting interest and 50% of the economic interest through various
subsidiaries. The other
50%
economic interest in CoreCommodity is held by a subsidiary of Jeffries
Financial Group Inc.
(NYSE:
JEF). |
Fund(s): |
a
portion of the assets of Diversified Real Asset (commodities sleeve and,
indirectly through a Cayman
subsidiary,
commodity derivatives) |
Sub-Advisor: |
Delaware
Investments Fund Advisers (“DIFA”)
is an indirect wholly-owned subsidiary of Macquarie
Group
Limited and operates as part of Macquarie Asset Management, the asset
management division
of
Macquarie Group Limited. |
Fund(s): |
a
portion of the assets of Diversified Real Asset |
Sub-Advisor: |
Gotham
Asset Management, LLC (“Gotham”)
is wholly owned by Gotham Asset Management
Holdings,
LP (“GAMH”). Joel Greenblatt and Robert Goldstein control Gotham through
their control of
GAMH
and as Managing Principals of Gotham. |
Fund(s): |
a
portion of the assets of Global Multi-Strategy |
Sub-Advisor: |
Graham
Capital Management, L.P. (“Graham”)
is majority owned by KGT Investment Partners, L.P.,
which
is principally owned by Graham’s founder, Kenneth Tropin, and members of
Mr. Tropin’s family. |
Fund(s): |
a
portion of the assets of Global Multi-Strategy |
Sub-Advisor: |
Impax
Asset Management Limited (“Impax”) is
a wholly-owned subsidiary of Impax Asset
Management
Group plc, which is publicly traded on the Alternative Investment Market
of the London
Stock
Exchange under the ticker symbol “IPX.” |
Fund(s): |
a
portion of the assets of Diversified Real Asset |
Sub-Advisor: |
Loomis,
Sayles & Company, L.P. (“Loomis Sayles”)
is a subsidiary of Natixis Investment Managers,
LLC,
which is part of Natixis Investment Managers, an international asset
management group based in
Paris,
France. |
Fund(s): |
a
portion of the assets of Global
Multi-Strategy |
Sub-Advisor: |
Los
Angeles Capital Management LLC (“Los Angeles Capital”)
is a California limited liability
company.
It is owned by key employees through its parent holding companies, LACM
Holdings Inc. and
LACM
Equity LLC (collectively, the “Parent Company”). Thomas D. Stevens,
Chairman, and Hal W.
Reynolds,
Co-Chief Investment Officer, hold a controlling equity interest in the
Parent Company. |
Fund(s): |
a
portion of the assets of Global Multi-Strategy |
Sub-Advisor: |
Newton
Investment Management North America LLC (“NIMNA LLC”)
is an indirect subsidiary of
The
Bank of New York Mellon Corporation (“BNY Mellon”), a banking and
financial services company.
NIMNA
LLC is part of ‘The Newton Investment Management Group,’ which is used to
collectively
describe
a group of affiliated companies that provide investment advisory services
under the brand
name
‘Newton’ or ‘Newton Investment Management’. Investment advisory services
are provided in the
United
States by NIMNA LLC and in the United Kingdom by Newton Investment
Management Limited
(NIM).
Both firms are indirect subsidiaries of BNY
Mellon. |
Fund(s): |
a
portion of the assets of Diversified Real Asset |
Sub-Advisor: |
Nuveen
Asset Management, LLC (“Nuveen Asset Management”)
is an investment advisor
registered
with the SEC, whose sole managing member is Nuveen Funds Advisors, LLC.
Nuveen Asset
Management
is an indirect subsidiary of Teachers Insurance and Annuity Association of
America, which
constitutes
the ultimate principal owner of Nuveen Asset
Management. |
Fund(s): |
a
portion of the assets of Diversified Real Asset |
Sub-Advisor: |
Origin
Asset Management LLP (doing
business as Principal Origin)
(“Origin”)
is an indirect
majority-owned
subsidiary of Principal Financial Services, Inc., an affiliate of PGI, and
a member of
Principal®. |
Fund(s): |
Origin
Emerging Markets |
Sub-Advisor: |
Pictet
Asset Management SA (“Pictet”)
is the asset management arm of the Pictet Group, which is
owned
by eight managing partners. |
Fund(s): |
a
portion of the assets of Diversified Real Asset |
Sub-Advisor: |
Principal
Real Estate Investors, LLC (doing
business as Principal Real Estate)
(“Principal - REI”)
is
an
indirect subsidiary of Principal Financial Group,
Inc. |
Fund(s): |
Global
Sustainable Listed Infrastructure and a portion of the assets of
Diversified Real Asset |
Sub-Advisor: |
Sound
Point Capital Management, LP (“Sound Point”),
Stephen Ketchum, five principals of Stone
Point
Capital LLC and Dyal Capital Partners II (A), LP, a third party permanent
capital fund managed by
the
Dyal Capital division of Blue Owl Capital Inc., together own 100% of the
equity of the General
Partner
and the Sub-Advisor with Dyal and the Stone Point principals owning
minority stakes. |
Fund(s): |
a
portion of the assets of Global Multi-Strategy |
Sub-Advisor: |
Spectrum
Asset Management, Inc. (“Spectrum”)
is an indirect subsidiary of Principal Financial
Group,
Inc. |
Fund(s): |
Capital
Securities and Spectrum Preferred and Capital Securities
Income |
Sub-Advisor: |
Wellington
Management Company LLP (“Wellington”)
is owned by the partners of Wellington
Management
Group LLP, a Massachusetts limited liability
partnership. |
Fund(s): |
a
portion of the assets of Diversified Real Asset and a portion of the
assets of Global Multi-Strategy |
Sub-Advisor: |
Westchester
Capital Management, LLC (“Westchester”)
is 100% owned by its sole member, Virtus
Partners,
Inc. (“VPI”). VPI is 100% owned by Virtus Investment Partners, Inc.
(NASDAQ: VRTS) (“VIP”). |
Fund(s): |
a
portion of the assets of Global
Multi-Strategy |
Fund |
All
Assets |
Bond
Market Index |
0.14% |
Capital
Securities |
0.00(1)
|
International
Equity Index |
0.25 |
Fund |
First
$500
Million |
Next
$500
Million |
Next
$500
Million |
Over
$1.5
Billion |
Edge
MidCap |
0.65% |
0.63% |
0.61% |
0.60% |
Global
Sustainable Listed Infrastructure |
0.75 |
0.73 |
0.71 |
0.70 |
International
Small Company |
1.00 |
0.98 |
0.96 |
0.95 |
Opportunistic
Municipal |
0.44 |
0.42 |
0.40 |
0.39 |
Small-MidCap
Growth |
0.70 |
0.68 |
0.66 |
0.65 |
Fund |
First
$500
Million |
Next
$500
Million |
Next
$500
Million |
Next
$500
Million |
Next
$1
Billion |
Over
$3
Billion |
Diversified
Real Asset |
0.80% |
0.78% |
0.76% |
0.75% |
0.74% |
0.73% |
Global
Multi-Strategy |
1.44 |
1.42 |
1.40 |
1.39 |
1.38 |
1.37 |
Origin
Emerging Markets |
0.99 |
0.97 |
0.95 |
0.94 |
0.93 |
0.92 |
Small-MidCap
Dividend Income |
0.79 |
0.77 |
0.75 |
0.74 |
0.73 |
0.72 |
Fund |
First
$500
Million |
Next
$500
Million |
Next
$500
Million |
Next
$500
Million |
Next
$1
Billion |
Next
$7
Billion |
Over
$10
Billion |
Blue
Chip |
0.65% |
0.63% |
0.61% |
0.60% |
0.59% |
0.58% |
0.57% |
Fund |
First
$500
Million |
Next
$500
Million |
Next
$500
Million |
Next
$500
Million |
Next
$1
Billion |
Next
$2
Billion |
Next
$2
Billion |
Next
$3
Billion |
Over
$10
Billion |
Spectrum
Preferred and Capital
Securities
Income |
0.75% |
0.73% |
0.71% |
0.70% |
0.69% |
0.68% |
0.67% |
0.66% |
0.65% |
Contractual
Limits on Total Annual Fund Operating Expenses | ||||
Fund |
A |
C |
Inst. |
Expiration |
Blue
Chip |
N/A |
N/A |
0.66% |
12/30/2023 |
Diversified
Real Asset |
1.20% |
N/A |
0.83% |
12/30/2023 |
Edge
MidCap |
1.10% |
N/A |
0.77% |
12/30/2023 |
Global
Multi-Strategy |
N/A |
N/A |
1.48% |
12/30/2023 |
Global
Sustainable Listed Infrastructure |
N/A |
N/A |
0.88% |
12/30/2023 |
International
Equity Index |
N/A |
N/A |
0.31% |
12/30/2023 |
International
Small Company |
N/A |
N/A |
1.08% |
12/30/2023 |
Opportunistic
Municipal |
0.84% |
N/A |
0.56% |
12/30/2023 |
Origin
Emerging Markets |
1.45% |
N/A |
1.10% |
12/30/2023 |
Small-MidCap
Dividend Income |
1.12% |
1.87% |
0.85% |
12/30/2023 |
Small-MidCap
Growth |
N/A |
N/A |
0.83% |
12/30/2023 |
Contractual
Limits on Other Expenses | ||
Fund |
R-6 |
Expiration |
Diversified
Real Asset |
0.02% |
12/30/2023 |
Edge
MidCap |
0.02% |
12/30/2023 |
Global
Multi-Strategy |
0.02% |
12/30/2023 |
International
Equity Index |
0.04% |
12/30/2023 |
International
Small Company |
0.04% |
12/30/2023 |
Small-MidCap
Dividend Income |
0.02% |
12/30/2023 |
Contractual
Management Fee Waivers | ||
Fund |
Waiver |
Expiration |
Blue
Chip |
0.030% |
12/30/2023 |
Bond
Market Index |
0.015% |
12/30/2023 |
Management
Fees Paid for Periods Ended August 31 (amounts in
thousands) | |||
Fund |
2022 |
2021 |
2020 |
Blue
Chip |
$57,901 |
$53,203 |
$33,554 |
Bond
Market Index |
1,323 |
1,489 |
3,401 |
Capital
Securities |
— |
— |
— |
Diversified
Real Asset |
36,917(1)(2) |
29,866(1) |
28,838 |
Edge
MidCap |
3,481 |
5,639 |
5,017 |
Global
Multi-Strategy |
8,180(1) |
10,276(1) |
14,279 |
International
Equity Index |
2,816 |
2,941 |
2,710 |
International
Small Company |
9,944 |
11,220 |
9,399 |
Opportunistic
Municipal |
839 |
735 |
681 |
Origin
Emerging Markets |
31,158 |
31,024 |
14,183 |
Small-MidCap
Dividend Income |
8,826 |
10,676 |
14,816 |
Small-MidCap
Growth |
70 |
73 |
38 |
Spectrum
Preferred and Capital Securities Income |
51,413 |
55,300 |
44,021 |
Management
Fees Waived for Periods Ended August 31 (amounts in
thousands) | |||
Fund |
2022 |
2021 |
2020 |
Blue
Chip |
$3,315 |
$3,864 |
$3,492 |
Bond
Market Index |
142 |
160 |
247 |
Diversified
Real Asset |
2,306 |
1,854 |
1,337 |
Edge
MidCap |
249 |
407 |
473 |
Global
Multi-Strategy |
205 |
258 |
359 |
Opportunistic
Municipal |
100 |
88 |
82 |
Origin
Emerging Markets |
— |
— |
569 |
Expenses
Reimbursed for Periods Ended August 31 (amounts in
thousands) | |||
Fund |
2022 |
2021 |
2020 |
Blue
Chip |
$— |
$— |
$30 |
Capital
Securities |
555 |
524 |
394 |
Diversified
Real Asset |
798 |
901 |
1,149 |
Edge
MidCap |
32 |
40 |
57 |
Global
Multi-Strategy |
471 |
642 |
825 |
International
Equity Index |
259 |
288 |
303 |
International
Small Company |
14 |
13 |
31 |
Opportunistic
Municipal |
55 |
38 |
46 |
Origin
Emerging Markets |
50 |
21 |
44 |
Small-MidCap
Dividend Income |
311 |
708 |
979 |
Small-MidCap
Growth |
35 |
38 |
46 |
Aggregate
Fees Paid to Sub-Advisors
(other
than Wholly-Owned Sub-Advisors and Origin)
for
Fiscal Years Ended August 31 (dollar amounts in
thousands) | ||||||
Fund |
2022 |
2021 |
2020 | |||
|
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Diversified
Real Asset |
$9,952 |
0.27% |
$7,587 |
0.27% |
$7,893 |
0.29% |
Global
Multi-Strategy |
3,406 |
0.79 |
4,211 |
0.78 |
6,444 |
0.86 |
Fees
Paid to Origin for Fiscal Years Ended August 31
(dollar
amounts in thousands) | ||||||
Fund |
2022 |
2021 |
2020 | |||
|
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Origin
Emerging Markets |
$11,902 |
0.39% |
$11,288 |
0.37% |
$5,140 |
0.39% |
Fund |
Gross
income
(including
from
cash
collateral
reinvestment) |
Fees
paid
to
securities
lending
agent
from
a
revenue
split |
Fees
paid
for
any
cash
collateral
management
service
that
are
not
included
in
revenue
split |
Administrative
fees
not
included
in
revenue
split |
Indemnification
fees
not
included
in
revenue
split |
Net
rebate
paid
to
borrower |
Other
fees
not
included
in
revenue
split |
Aggregate
fees/
compensation |
Net
income
from
securities
lending |
Blue
Chip |
$2,870 |
$122 |
$— |
$— |
$— |
$1,648 |
$— |
$1,770 |
$1,100 |
Bond
Market
Index |
26,762 |
4,008 |
— |
— |
— |
(13,345) |
— |
(9,337) |
36,099 |
Capital
Securities |
30,581 |
9,073 |
— |
— |
— |
(60,171) |
— |
(51,098) |
81,679 |
Diversified
Real
Asset |
174,155 |
32,074 |
— |
— |
— |
(146,617) |
— |
(114,543) |
288,699 |
Edge
MidCap |
426 |
22 |
— |
— |
— |
211 |
— |
232 |
194 |
International
Equity
Index |
121,663 |
36,230 |
— |
— |
— |
(240,665) |
— |
(204,435) |
326,098 |
International
Small
Company |
44,126 |
21,812 |
— |
— |
— |
(174,009) |
— |
(152,197) |
196,323 |
Origin
Emerging
Markets |
(6,128) |
16,116 |
— |
— |
— |
(167,291) |
— |
(151,174) |
145,046 |
Fund |
Gross
income
(including
from
cash
collateral
reinvestment) |
Fees
paid
to
securities
lending
agent
from
a
revenue
split |
Fees
paid
for
any
cash
collateral
management
service
that
are
not
included
in
revenue
split |
Administrative
fees
not
included
in
revenue
split |
Indemnification
fees
not
included
in
revenue
split |
Net
rebate
paid
to
borrower |
Other
fees
not
included
in
revenue
split |
Aggregate
fees/
compensation |
Net
income
from
securities
lending |
Small-MidCap
Dividend
Income |
1,616 |
54 |
— |
— |
— |
1,080 |
— |
1,133 |
483 |
Small-MidCap
Growth |
643 |
41 |
— |
— |
— |
232 |
— |
273 |
370 |
Spectrum
Preferred
and
Capital
Securities
Income |
185,019 |
54,557 |
— |
— |
— |
(360,735) |
— |
(306,178) |
491,197 |
Fund |
Amount
of Transactions
because
of Research
Services
Provided |
Related
Commissions
Paid |
Blue
Chip |
$4,110,053,063 |
$679,853 |
Diversified
Real Asset |
1,589,889,480 |
928,989 |
Edge
MidCap |
216,269,911 |
92,793 |
Global
Multi Strategy |
387,534,316 |
119,792 |
International
Equity Index |
139,553,419 |
61,589 |
International
Small Company |
562,333,969 |
361,153 |
Origin
Emerging Markets |
2,607,755,628 |
395,224 |
Small-MidCap
Dividend Income |
417,042,830 |
200,907 |
Small-MidCap
Growth |
22,003,157 |
13,549 |
Total
Brokerage Commissions Paid for Periods Ended August
31 | |||
Fund |
2022 |
2021 |
2020 |
Blue
Chip |
$1,124,327 |
$753,316 |
$1,090,620 |
Bond
Market Index |
3,100 |
1,113 |
24,738 |
Capital
Securities |
— |
— |
— |
Diversified
Real Asset |
2,790,121 |
2,070,760 |
2,176,632 |
Edge
MidCap |
143,600 |
233,178 |
225,263 |
Global
Multi-Strategy |
214,062 |
265,244 |
511,496 |
International
Equity Index |
145,622 |
168,042 |
172,815 |
International
Small Company |
1,136,409 |
1,015,533 |
646,503 |
Opportunistic
Municipal |
529 |
860 |
369 |
Origin
Emerging Markets |
1,255,281 |
1,875,966 |
680,425 |
Small-MidCap
Dividend Income |
321,101 |
1,035,762 |
1,823,807 |
Small-MidCap
Growth |
24,871 |
17,659 |
11,648 |
Spectrum
Preferred and Capital Securities Income |
208,830 |
175,793 |
585,434 |
Fund |
Sub-Advisor
Employed by
the
Fund Complex |
Affiliated
Broker |
2022
Fund’s
Total
Commissions
Paid |
%
of
Fund’s
Total
Commissions |
%
of Dollar
Amount
of
Fund’s
Commissionable
Transactions |
Spectrum
Preferred and Capital Securities Income | |||||
|
Spectrum
Asset Management |
SAMI
Brokerage LLC |
$82,547 |
39.53% |
95.82% |
|
|
Total |
$82,547 |
39.53% |
95.82% |
Fund |
Sub-Advisor
Employed by
the
Fund Complex |
Affiliated
Broker |
2021
Fund’s
Total
Commissions
Paid |
%
of
Fund’s
Total
Commissions |
%
of Dollar
Amount
of
Fund’s
Commissionable
Transactions |
Spectrum
Preferred and Capital Securities Income | |||||
|
Spectrum
Asset Management |
SAMI
Brokerage LLC |
$74,814 |
42.56% |
89.50% |
|
|
Total |
$74,814 |
42.56% |
89.50% |
Fund |
Sub-Advisor
Employed by
the
Fund Complex |
Affiliated
Broker |
2020
Fund’s
Total
Commissions
Paid |
%
of
Fund’s
Total
Commissions |
%
of Dollar
Amount
of
Fund’s
Commissionable
Transactions |
Spectrum
Preferred and Capital Securities Income | |||||
|
Spectrum
Asset Management |
SAMI
Brokerage LLC |
$155,836 |
26.62% |
71.94% |
|
|
Total |
$155,836 |
26.62% |
71.94% |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
Bond
Market Index |
Bank
of New York Mellon Corp/The |
$ 1,442 |
|
Barclays
PLC |
2,964 |
|
Citigroup
Inc |
9,235 |
|
Credit
Suisse AG |
958 |
|
Goldman
Sachs Group Inc/The |
7,852 |
|
JPMorgan
Chase & Co |
12,999 |
|
Morgan
Stanley |
7,602 |
|
Nomura
Holdings Inc |
2,429 |
|
Royal
Bank of Canada |
1,819 |
|
Wells
Fargo & Co |
6,619 |
|
|
|
Capital
Securities |
Bank
of New York Mellon Corp/The |
46,182 |
|
Barclays
PLC |
30,796 |
|
Citigroup
Inc |
24,012 |
|
Credit
Suisse AG |
33,773 |
|
Goldman
Sachs Group Inc/The |
12,818 |
|
JPMorgan
Chase & Co |
22,165 |
|
Morgan
Stanley |
3,109 |
|
UBS
Group AG |
34,028 |
|
Wells
Fargo & Co |
7,755 |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
|
|
|
Global
Multi-Strategy |
Bank
of New York Mellon Corp/The |
$ 188 |
|
Barclays
PLC |
646 |
|
Citigroup
Inc |
183 |
|
Goldman
Sachs Group Inc/The |
549 |
|
JPMorgan
Chase & Co |
340 |
|
Morgan
Stanley |
660 |
|
Royal
Bank of Canada |
111 |
|
UBS
Group AG |
132 |
|
Wells
Fargo & Co |
379 |
|
|
|
International
Equity Index |
Barclays
PLC |
2,253 |
|
Credit
Suisse AG |
965 |
|
Nomura
Holdings Inc |
743 |
|
UBS
Group AG |
3,934 |
|
|
|
Spectrum
Preferred and Capital Securities Income |
Bank
of New York Mellon Corp/The |
93,726 |
|
Barclays
PLC |
136,316 |
|
Citigroup
Inc |
169,055 |
|
Credit
Suisse AG |
179,301 |
|
Goldman
Sachs Group Inc/The |
80,725 |
|
JPMorgan
Chase & Co |
252,694 |
|
Morgan
Stanley |
36,373 |
|
UBS
Group AG |
105,985 |
|
Wells
Fargo & Co |
195,830 |
Exchange
From Class |
Exchange
To Class |
A |
Institutional |
C |
A,
Institutional |
Exchange
From Class |
Exchange
To Class |
Institutional |
A,
C, R-6 |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person
is a
company) |
Parent
of Control
Person
(when control
person
is a company) |
CAPITAL
SECURITIES |
32.95% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS
CUSTOMERS
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1901 |
DELAWARE |
MORGAN
STANLEY |
CAPITAL
SECURITIES |
28.20% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
NEW
YORK |
BANK
OF AMERICA
CORPORATION |
GLOBAL
SUSTAINABLE
LISTED
INFRASTRUCTURE |
100.00% |
PRINCIPAL
FINANCIAL SERVICES INC
PUBLIC
SEED ACCOUNT
ATTN
GAM INVACCT ACA TEAM
G-016-S40
711
HIGH ST
DES
MOINES IA 50392-9992 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP,
INC. |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person
is a
company) |
Parent
of Control
Person
(when control
person
is a company) |
INTERNATIONAL
EQUITY
INDEX |
35.29% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PFG OMNIBUS
WRAPPED
AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
INTERNATIONAL
EQUITY
INDEX |
31.14% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING
H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MARYLAND |
PRINCIPAL
FUNDS,
INC. |
ORIGIN
EMERGING
MARKETS |
32.51% |
PRINCIPAL
GLOBAL INVESTORS TRUST
CO
PRINCIPAL
LIFETIME HYBRID
COLLECTIVE
INVESTMENT FUNDS
1300
SW 5TH AVE STE 3300
PORTLAND
OR 97201-5640 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
SMALL-MIDCAP
GROWTH |
93.53% |
PRINCIPAL
FINANCIAL SERVICES INC
PUBLIC
SEED ACCOUNT
ATTN
GAM INVACCT ACA TEAM
G-016-S40
711
HIGH ST
DES
MOINES IA 50392-9992 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP,
INC. |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
BLUE
CHIP (A) |
45.02% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
BLUE
CHIP (A) |
5.53% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
BLUE
CHIP (C) |
17.45% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
BLUE
CHIP (C) |
16.65% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
BLUE
CHIP (C) |
10.71% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
BLUE
CHIP (C) |
8.75% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
BLUE
CHIP (C) |
8.45% |
STIFEL
NICOLAUS & CO INC
EXCLUSIVE
BENEFIT OF CUSTOMERS
501
N BROADWAY
SAINT
LOUIS MO 63102-2188 |
BLUE
CHIP (C) |
7.70% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
BLUE
CHIP (I) |
26.32% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
BLUE
CHIP (I) |
12.48% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
BLUE
CHIP (I) |
9.12% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
BLUE
CHIP (I) |
9.03% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
BLUE
CHIP (I) |
7.30% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
BLUE
CHIP (I) |
6.86% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO
63103-2523 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
BLUE
CHIP (I) |
6.01% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
BLUE
CHIP (I) |
5.22% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
BLUE
CHIP (R3) |
35.42% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R3) |
20.12% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WEST
DES MOINES IA 50266-3833 |
BLUE
CHIP (R3) |
15.71% |
STATE
STREET BANK CUST
FBO
ADP ACCESS PRODUCT 401(K) PLAN
1
LINCOLN ST
BOSTON
MA 02111-2900 |
BLUE
CHIP (R4) |
43.15% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R4) |
16.55% |
KINGS
DAUGHTERS HEALTH
ATTN
PLAN TRUSTEE
FBO
KINGS DAUGHTERS HEALTH 457B
1373
E STATE RD 62
MADISON
IN 47250-7328 |
BLUE
CHIP (R4) |
10.35% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
BLUE
CHIP (R4) |
8.45% |
PRINCIPAL
TRUST COMPANY
FBO
FIRST COUNTY BANK
NQ
DEF COMP AND SERP
ATTN
PLAN TRUSTEE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
BLUE
CHIP (R4) |
7.18% |
BRIDGES
INC
FBO
EXEC 457F OF BRIDGES INC
ATTN
CHRISTY KNUTSON
3600
POWER INN RD STE C
SACRAMENTO
CA 95826-3826 |
BLUE
CHIP (R5) |
90.30% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R6) |
21.79% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R6) |
9.75% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
BLUE
CHIP (R6) |
8.77% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R6) |
6.97% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R6) |
6.73% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R6) |
6.50% |
SAM
STRATEGIC GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP (R6) |
5.33% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (I) |
22.07% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (I) |
15.40% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (I) |
10.57% |
SAM
CONS BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (I) |
7.99% |
LIFETIME
HYBRID 2030 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (I) |
7.14% |
LIFETIME
HYBRID 2025 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (I) |
6.28% |
LIFETIME
HYBRID 2020 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (R1) |
63.73% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (R1) |
15.80% |
FIIOC
FBO
AVAILABLE PLASTICS INC
401K
PLAN
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
BOND
MARKET INDEX (R1) |
13.37% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
BOND
MARKET INDEX (R3) |
60.33% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (R3) |
19.23% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC NQ EXCESS
OF
MAGNECOMP CORP
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
BOND
MARKET INDEX (R4) |
76.83% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (R5) |
44.48% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX (R5) |
22.30% |
FEDERAL
REALTY INVESTMENT TRUST
FBO
FEDERAL REALTY INVESTMENT TRUST
ATTN
VICKIE RALLS
1626
E JEFFERSON ST
ROCKVILLE
MD 20852-4041 |
CAPITAL
SECURITIES (S) |
32.95% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
CAPITAL
SECURITIES (S) |
28.20% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
CAPITAL
SECURITIES (S) |
15.33% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
CAPITAL
SECURITIES (S) |
5.11% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
DIVERSIFIED
REAL ASSET (A) |
20.08% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
DIVERSIFIED
REAL ASSET (A) |
18.62% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
REAL ASSET (A) |
6.68% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR CLIENTS
PO
BOX 2226
OMAHA
NE 68103-2226 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
REAL ASSET (A) |
6.32% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
DIVERSIFIED
REAL ASSET (I) |
23.08% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
REAL ASSET (I) |
19.04% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FOR THE
BENEFIT
OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
DIVERSIFIED
REAL ASSET (I) |
10.20% |
CAPINCO
C/O US BANK NA
1555
N RIVERCENTER DR STE 302
MILWAUKEE
WI 53212-3958 |
DIVERSIFIED
REAL ASSET (I) |
5.92% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
DIVERSIFIED
REAL ASSET (R3) |
97.56% |
PRINCIPAL
TRUST COMPANY
FBO
BLUE ROCK REFINISHING SOLUTIONS
LLC
CASH BALANCE PLAN
2974
CLEVELAND AVE N
SAINT
PAUL MN 55113-1101 |
DIVERSIFIED
REAL ASSET (R5) |
81.37% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
DIVERSIFIED
REAL ASSET (R5) |
18.62% |
PRINCIPAL
GLOBAL INVESTORS LLC
ATTN
SEAN CLINES 801-9A08
801
GRAND AVE
DES
MOINES IA 50309-8000 |
DIVERSIFIED
REAL ASSET (R6) |
14.99% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
REAL ASSET (R6) |
11.42% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
REAL ASSET (R6) |
8.14% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
REAL ASSET (R6) |
7.20% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
EDGE
MIDCAP (A) |
25.46% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
EDGE
MIDCAP (A) |
21.46% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
EDGE
MIDCAP (A) |
12.45% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
EDGE
MIDCAP (I) |
34.53% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
EDGE
MIDCAP (I) |
22.36% |
MAILCODE
BD1N ATTN MF
C/O
RELIANCE TRUST COMPANY WI
MITRA
& CO FBO 98
4900
W BROWN DEER RD
MILWAUKEE
WI 53223-2422 |
EDGE
MIDCAP (I) |
14.45% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
EDGE
MIDCAP (I) |
7.93% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
EDGE
MIDCAP (R6) |
32.10% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
EDGE
MIDCAP (R6) |
30.99% |
JASCO
& CO
800
PHILADELPHIA ST
INDIANA
PA 15701-3908 |
EDGE
MIDCAP (R6) |
13.76% |
ATTN
MUTUAL FUND ADMINISTRATOR
C/O
TRUIST ID 866
SEI
PRIVATE TRUST COMPANY
ONE
FREEDOM VALLEY DRIVE
OAKS
PA 19456-9989 |
EDGE
MIDCAP (R6) |
7.94% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
EDGE
MIDCAP (R6) |
6.88% |
C/O
REGIONS
SEI
PRIVATE TRUST COMPANY
1
FREEDOM VALLEY DRIVE
OAKS
PA 19456-9989 |
GLOBAL
MULTI-STRATEGY (A) |
20.48% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
GLOBAL
MULTI-STRATEGY (A) |
15.83% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GLOBAL
MULTI-STRATEGY (A) |
13.93% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
GLOBAL
MULTI-STRATEGY (A) |
6.01% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY
10004-1965 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
GLOBAL
MULTI-STRATEGY (I) |
26.87% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GLOBAL
MULTI-STRATEGY (I) |
16.42% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
GLOBAL
MULTI-STRATEGY (I) |
16.29% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
GLOBAL
MULTI-STRATEGY (I) |
5.23% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
GLOBAL
MULTI-STRATEGY (R6) |
47.78% |
WELLS
FARGO BANK NA
PO
BOX 1533
MINNEAPOLIS
MN 55480-1533 |
GLOBAL
MULTI-STRATEGY (R6) |
17.05% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
GLOBAL
MULTI-STRATEGY (R6) |
14.24% |
MORI
& CO
922
WALNUT ST
MAILSTOP
TBTS 2
KANSAS
CITY MO 64106-1802 |
GLOBAL
MULTI-STRATEGY (R6) |
10.47% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 32246-6484 |
GLOBAL
SUSTAINABLE LISTED
INFRASTRUCTURE
(I) |
100.00% |
PRINCIPAL
FINANCIAL SERVICES INC
PUBLIC
SEED ACCOUNT
ATTN
GAM INVACCT ACA TEAM G-016-S40
711
HIGH ST
DES
MOINES IA 50392-9992 |
INTERNATIONAL
EQUITY INDEX (I) |
26.57% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
EQUITY INDEX (I) |
24.95% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
INTERNATIONAL
EQUITY INDEX (I) |
20.89% |
CHARLES
SCHWAB & CO INC
FBO
SPECIAL CUSTODY ACCOUNTS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
INTERNATIONAL
EQUITY INDEX (I) |
15.49% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 008
EMPIRE
TODAY, LLC 401(K)
333
NORTHWEST AVE
NORTHLAKE
IL 60164-1604 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
INTERNATIONAL
EQUITY INDEX (R1) |
66.29% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
EQUITY INDEX (R1) |
13.66% |
FIIOC
FBO
CENTRAL
PARK INSURANCE AGENCY INC
EMPLOYEES
PROFIT SHARING PLAN
100
MAGELLAN WAY
COVINGTON
KY 41015-1987 |
INTERNATIONAL
EQUITY INDEX (R1) |
9.64% |
FIIOC
FBO
KEITH PORTER INSULATION
&
FIREPLACE 401K PLAN
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
INTERNATIONAL
EQUITY INDEX (R1) |
7.97% |
MID
ATLANTIC TRUST COMPANY FBO
BORIK
HOSPITALIST GROUP, INC 401(K
1251
WATERFRONT PLACE SUITE 525
PITTSBURGH
PA 15222-4228 |
INTERNATIONAL
EQUITY INDEX (R3) |
59.93% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
EQUITY INDEX (R4) |
44.50% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
EQUITY INDEX (R4) |
24.21% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
INTERNATIONAL
EQUITY INDEX (R4) |
5.23% |
PRINCIPAL
TRUST COMPANY
FBO
LESLIE GABER ASSOC INC
CASH
BALANCE PLAN
24
HILLCREST DR
COLTS
NECK NJ 07722-2227 |
INTERNATIONAL
EQUITY INDEX (R5) |
61.86% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
EQUITY INDEX (R5) |
16.76% |
WACHOVIA
BANK NATIONAL ASSOCIATION
FBO
DEF COMP PLAN OF CED INC (PS
ATTN
SHELLEY ANDERSON
DEF
ONE
WEST FOURTH STREET
WINSTON-SALEM
NC 27101-3972 |
INTERNATIONAL
EQUITY INDEX (R5) |
5.79% |
RELIANCE
TRUST COMPANY CUST
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
INTERNATIONAL
EQUITY INDEX (R6) |
38.33% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR FUNDS
711
HIGH STREET
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
INTERNATIONAL
EQUITY INDEX (R6) |
33.83% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
EQUITY INDEX (R6) |
13.07% |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
EQUITY INDEX (R6) |
5.81% |
DIVERSIFIED
BALANCED ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
SMALL COMPANY (I) |
77.25% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
INTERNATIONAL
SMALL COMPANY (I) |
8.07% |
THE
GRABLE FOUNDATION
701
MARKET ST STE 1100
SAINT
LOUIS MO 63101-1867 |
INTERNATIONAL
SMALL COMPANY (I) |
6.67% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
INTERNATIONAL
SMALL COMPANY (R6) |
13.55% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
SMALL COMPANY (R6) |
12.88% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
SMALL COMPANY (R6) |
10.32% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
SMALL COMPANY (R6) |
7.51% |
SAM
STRATEGIC GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
SMALL COMPANY (R6) |
7.25% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
SMALL COMPANY (R6) |
6.58% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
OPPORTUNISTIC
MUNICIPAL (A) |
21.84% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
OPPORTUNISTIC
MUNICIPAL (A) |
17.36% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
OPPORTUNISTIC
MUNICIPAL (A) |
13.05% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL
33716-1102 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
OPPORTUNISTIC
MUNICIPAL (A) |
10.84% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
OPPORTUNISTIC
MUNICIPAL (A) |
5.97% |
RBC
CAPITAL MARKETS LLC
MUTUAL
FUND OMNIBUS PROCESSING
OMNIBUS
ATTN
MUTUAL FUND OPS MANAGER
250
NICOLLET MALL SUITE 1400
MINNEAPOLIS
MN 55401-7554 |
OPPORTUNISTIC
MUNICIPAL (I) |
19.58% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
OPPORTUNISTIC
MUNICIPAL (I) |
17.16% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
OPPORTUNISTIC
MUNICIPAL (I) |
13.21% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
OPPORTUNISTIC
MUNICIPAL (I) |
11.30% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
OPPORTUNISTIC
MUNICIPAL (I) |
9.81% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR CLIENTS
PO
BOX 2226
OMAHA
NE 68103-2226 |
OPPORTUNISTIC
MUNICIPAL (I) |
8.51% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
OPPORTUNISTIC
MUNICIPAL (I) |
6.55% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
ORIGIN
EMERGING MARKETS (A) |
46.34% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
ORIGIN
EMERGING MARKETS (I) |
45.45% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
ORIGIN
EMERGING MARKETS (I) |
23.53% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR CLIENTS
PO
BOX 2226
OMAHA
NE 68103-2226 |
ORIGIN
EMERGING MARKETS (I) |
14.95% |
CAPINCO
C/O US BANK NA
1555
N RIVERCENTER DR STE 302
MILWAUKEE
WI 53212-3958 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
ORIGIN
EMERGING MARKETS (I) |
9.26% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
ORIGIN
EMERGING MARKETS (R6) |
33.87% |
PRINCIPAL
GLOBAL INVESTORS TRUST CO
PRINCIPAL
LIFETIME HYBRID
COLLECTIVE
INVESTMENT FUNDS
1300
SW 5TH AVE STE 3300
PORTLAND
OR 97201-5640 |
ORIGIN
EMERGING MARKETS (R6) |
13.49% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
ORIGIN
EMERGING MARKETS (R6) |
6.91% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
ORIGIN
EMERGING MARKETS (R6) |
6.27% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
ORIGIN
EMERGING MARKETS (R6) |
5.61% |
SAM
STRATEGIC GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALL-MIDCAP
DIVIDEND INCOME (A) |
18.80% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALL-MIDCAP
DIVIDEND INCOME (A) |
12.53% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SMALL-MIDCAP
DIVIDEND INCOME (A) |
8.47% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
SMALL-MIDCAP
DIVIDEND INCOME (A) |
7.18% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
SMALL-MIDCAP
DIVIDEND INCOME (A) |
6.72% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SMALL-MIDCAP
DIVIDEND INCOME (C) |
27.27% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SMALL-MIDCAP
DIVIDEND INCOME (C) |
15.99% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL
33716-1102 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALL-MIDCAP
DIVIDEND INCOME (C) |
14.01% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALL-MIDCAP
DIVIDEND INCOME (C) |
9.49% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SMALL-MIDCAP
DIVIDEND INCOME (I) |
22.97% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SMALL-MIDCAP
DIVIDEND INCOME (I) |
17.76% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
SMALL-MIDCAP
DIVIDEND INCOME (I) |
13.30% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
SMALL-MIDCAP
DIVIDEND INCOME (I) |
11.14% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SMALL-MIDCAP
DIVIDEND INCOME (I) |
5.50% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 32246-6484 |
SMALL-MIDCAP
DIVIDEND INCOME (R6) |
48.17% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALL-MIDCAP
DIVIDEND INCOME (R6) |
31.94% |
KENTUCKY
PUBLIC EMPLOYEES DEFERRED
COMPENSATION
AUTHORITY
C/O
NATIONWIDE
PO
BOX 182029
COLUMBUS
OH 43218-2029 |
SMALL-MIDCAP
DIVIDEND INCOME (R6) |
10.28% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SMALL-MIDCAP
GROWTH (I) |
93.53% |
PRINCIPAL
FINANCIAL SERVICES INC
PUBLIC
SEED ACCOUNT
ATTN
GAM INVACCT ACA TEAM G-016-S40
711
HIGH ST
DES
MOINES IA 50392-9992 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (A) |
19.60% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR EAST 3RD FL
JACKSONVILLE
FL 32246-6484 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (A) |
14.29% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO
63103-2523 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (A) |
14.04% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (A) |
8.54% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (A) |
6.26% |
CHARLES
SCHWAB & CO INC
FBO
SPECIAL CUSTODY ACCOUNTS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (A) |
5.99% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (C) |
21.75% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (C) |
15.31% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (C) |
12.69% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR EAST 3RD FL
JACKSONVILLE
FL 32246-6484 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (C) |
9.16% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (C) |
6.67% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (C) |
5.53% |
CHARLES
SCHWAB & CO INC
FBO
SPECIAL CUSTODY ACCOUNTS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (C) |
5.09% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (I) |
12.26% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (I) |
11.70% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (I) |
11.24% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF
OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (I) |
10.86% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (I) |
10.70% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (I) |
7.90% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (I) |
5.53% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R1) |
54.97% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R1) |
38.60% |
PRINCIPAL
TRUST COMPANY
FBO
CONCORP CONCRETE INC
DEFINED
BENEFIT PENSION PLAN
2485
ASHCROFT AVE
CLOVIS
CA 93611-6001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R4) |
98.31% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R5) |
43.36% |
VANGUARD
FIDUCIARY TRUST CO
FBO
401K CLIENTS
ATTN
INVESTMENT SERVICES
PO
BOX 2600
VALLEY
FORGE PA 19482-2600 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R5) |
30.71% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R5) |
12.00% |
JOHN
HANCOCK TRUST COMPANY LLC
690
CANTON ST STE 100
WESTWOOD
MA 02090-2324 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R5) |
9.37% |
PRINCIPAL
TRUST COMPANY
FBO
NQ DB OF AAA ARIZONA
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R6) |
19.68% |
WELLS
FARGO BANK NA FBO
OMNIBUS
CASH CASH
XXXX0
PO
BOX 1533
MINNEAPOLIS
MN 55480-1533 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R6) |
15.88% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R6) |
15.36% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R6) |
14.27% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R6) |
7.98% |
SAM
CONS BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SPECTRUM
PREFERRED AND CAPITAL
SECURITIES
INCOME (R6) |
6.55% |
WELLS
FARGO CLEARING SERVICES
A/C
2035-5107
ONE
NORTH JEFFERSON AVENUE
SAINT
LOUIS MO 63103-2287 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Christopher
T. Corbett:
Small-MidCap Growth Fund | ||||
Registered
investment companies |
2 |
$593.4 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$403.7 million |
0 |
$0 |
Other
accounts |
13 |
$284.6 million |
0 |
$0 |
Tiffany
N. Lavastida:
International Small Company Fund | ||||
Registered
investment companies |
5 |
$63.9 million |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$1.6 billion |
0 |
$0 |
Other
accounts |
17 |
$1.7 billion |
0 |
$0 |
K.
William Nolin:
Blue Chip Fund | ||||
Registered
Investment Companies |
5 |
$21.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$2.7 billion |
0 |
$0 |
Other
accounts |
67 |
$11.8 billion |
0 |
$0 |
Brian
W. Pattinson:
International Small Company Fund | ||||
Registered
investment companies |
7 |
$1.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$2.2 billion |
0 |
$0 |
Other
accounts |
42 |
$4.3 billion |
2 |
$470.3 million |
Tom
Rozycki:
Blue Chip Fund | ||||
Registered
Investment Companies |
5 |
$21.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$2.7 billion |
0 |
$0 |
Other
accounts |
67 |
$11.8 billion |
0 |
$0 |
Jeffrey
A. Schwarte:
International Equity Index Fund | ||||
Registered
investment companies |
28 |
$17.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
6 |
$40.7 billion |
0 |
$0 |
Other
accounts |
4 |
$1.3 billion |
0 |
$0 |
Marc
R. Shapiro:
Small-MidCap Growth Fund | ||||
Registered
investment companies |
2 |
$593.4 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$403.7 million |
0 |
$0 |
Other
accounts |
10 |
$212.0 million |
0 |
$0 |
Aaron
J. Siebel:
International Equity Index Fund | ||||
Registered
investment companies |
27 |
$17.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$40.7 billion |
0 |
$0 |
Other
accounts |
2 |
$1.3 billion |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Christopher
T. Corbett |
Small-MidCap
Growth |
$100,001
- $500,000 |
Tiffany
N. Lavastida |
International
Small Company |
$100,001 -
$500,000 |
K.
William Nolin |
Blue
Chip |
Over
$1,000,000 |
Brian
W. Pattinson |
International
Small Company |
Over
$1,000,000 |
Tom
Rozycki |
Blue
Chip |
Over
$1,000,000 |
Jeffrey
A. Schwarte |
International
Equity Index |
None |
Marc
R. Shapiro |
Small-MidCap
Growth |
$100,001
- $500,000 |
Aaron
J. Siebel |
International
Equity Index |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Jeff
Callahan:
Bond Market Index Fund | ||||
Registered
Investment Companies |
4 |
$2.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$11.1 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
James
Noble:
Opportunistic Municipal Fund | ||||
Registered
Investment Companies |
3 |
$1.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$80.8 million |
0 |
$0 |
Other
accounts |
10 |
$753.0 million |
0 |
$0 |
Darryl
Trunnel:
Bond Market Index Fund | ||||
Registered
investment companies |
15 |
$4.0 billion |
1 |
$538.0 million |
Other
pooled investment vehicles |
18 |
$14.9 billion |
0 |
$0 |
Other
accounts |
34 |
$7.9 million |
8 |
$1.4 billion |
James
Welch:
Opportunistic Municipal Fund | ||||
Registered
Investment Companies |
3 |
$1.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$80.8 million |
0 |
$0 |
Other
accounts |
10 |
$753.0 million |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Jeff
Callahan |
Bond
Market Index |
$1
- $10,000 |
James
Noble |
Opportunistic
Municipal |
$100,001 -
$500,000 |
Darryl
Trunnel |
Bond
Market Index |
$1
- $10,000 |
James
Welch |
Opportunistic
Municipal |
$100,001 -
$500,000 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Jessica
S. Bush:
Diversified Real Asset and Global Multi-Strategy
Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$10.5 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Benjamin
E. Rotenberg:
Diversified Real Asset and Global Multi-Strategy
Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$10.5 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
May
Tong:
Diversified Real Asset and Global Multi-Strategy
Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$10.5 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Jessica
S. Bush |
Diversified
Real Asset |
$100,001
- $500,000 |
Jessica
S. Bush |
Global
Multi-Strategy |
$10,001 -
$50,000 |
Benjamin
E. Rotenberg |
Diversified
Real Asset |
$100,001
- $500,000 |
Benjamin
E. Rotenberg |
Global
Multi-Strategy |
$100,001 -
$500,000 |
May
Tong |
Diversified
Real Asset |
$100,001
- $500,000 |
May
Tong |
Global
Multi-Strategy |
$1 -
$10,000 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Lauren
Choi:
Edge MidCap Fund | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
0 |
$0 |
0 |
$0 |
Other
accounts |
9 |
$221.2 million |
0 |
$0 |
Daniel
R. Coleman:
Edge MidCap and Small-MidCap Dividend Income
Funds | ||||
Registered
investment companies |
5 |
$13.4 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$259.0 million |
0 |
$0 |
Other
accounts |
43 |
$3.3 billion |
0 |
$0 |
Theodore
Jayne:
Edge MidCap Fund | ||||
Registered
investment companies |
2 |
$3.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
0 |
$0 |
0 |
$0 |
Other
accounts |
9 |
$221.2 million |
0 |
$0 |
Sarah
E. Radecki:
Small-MidCap Dividend Income Fund | ||||
Registered
investment companies |
3 |
$10.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$259.0 million |
0 |
$0 |
Other
accounts |
33 |
$3.0 billion |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Lauren
Choi |
Edge
MidCap |
$100,001
- $500,000 |
Daniel
R. Coleman |
Edge
MidCap |
Over
$1,000,000 |
Daniel
R. Coleman |
Small-MidCap
Dividend Income |
Over
$1,000,000 |
Theodore
Jayne |
Edge
MidCap |
$100,001 -
$500,000 |
Sarah
E. Radecki |
Small-MidCap
Dividend Income |
Over
$1,000,000 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Chris
Carter:
Origin Emerging Markets Fund | ||||
Registered
investment companies |
1 |
$302.0 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$115.0 million |
0 |
$0 |
Other
accounts |
9 |
$1.4 billion |
1 |
$75.0 million |
Nigel
Dutson:
Origin Emerging Markets Fund | ||||
Registered
investment companies |
1 |
$302.0 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$115.0 million |
0 |
$0 |
Other
accounts |
9 |
$1.4 billion |
1 |
$75.0 million |
Tarlock
Randhawa:
Origin Emerging Markets Fund | ||||
Registered
investment companies |
1 |
$302.0 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$115.0 million |
0 |
$0 |
Other
accounts |
9 |
$1.4 billion |
1 |
$75.0 million |
Nerys
Weir:
Origin Emerging Markets Fund | ||||
Registered
investment companies |
1 |
$302.0 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$115.0 million |
0 |
$0 |
Other
accounts |
9 |
$1.4 billion |
1 |
$75.0 million |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Chris
Carter |
Origin
Emerging Markets |
None |
Nigel
Dutson |
Origin Emerging
Markets |
None |
Tarlock
Randhawa |
Origin
Emerging Markets |
None |
Nerys
Weir |
Origin Emerging
Markets |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Emily
Foshag:
Global Sustainable Listed Infrastructure Fund | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$10.3 million |
0 |
$0 |
Other
accounts |
1 |
$15.0 million |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Emily
Foshag |
Global
Sustainable Listed Infrastructure |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Fernando
(“Fred”) Diaz:
Capital Securities and Spectrum Preferred and Capital Securities Income
Funds | ||||
Registered
investment companies |
8 |
$10.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.7 billion |
0 |
$0 |
Other
accounts |
70 |
$8.2 billion |
0 |
$0 |
Roberto
Giangregorio:
Capital Securities and Spectrum Preferred and Capital Securities Income
Funds | ||||
Registered
investment companies |
8 |
$10.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.7 billion |
0 |
$0 |
Other
accounts |
70 |
$8.2 billion |
0 |
$0 |
L.
Phillip Jacoby, IV:
Capital Securities and Spectrum Preferred and Capital Securities Income
Funds | ||||
Registered
investment companies |
8 |
$10.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.7 billion |
0 |
$0 |
Other
accounts |
70 |
$8.2 billion |
0 |
$0 |
Manu
Krishnan:
Capital Securities and Spectrum Preferred and Capital Securities Income
Funds | ||||
Registered
investment companies |
8 |
$10.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.7 billion |
0 |
$0 |
Other
accounts |
70 |
$8.2 billion |
0 |
$0 |
Mark
A. Lieb:
Capital Securities and Spectrum Preferred and Capital Securities Income
Funds | ||||
Registered
investment companies |
8 |
$10.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.7 billion |
0 |
$0 |
Other
accounts |
70 |
$8.2 billion |
0 |
$0 |
Kevin
Nugent:
Spectrum Preferred and Capital Securities Income
Fund | ||||
Registered
investment companies |
8 |
$10.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.7 billion |
0 |
$0 |
Other
accounts |
70 |
$8.2 billion |
0 |
$0 |
Satomi
Yarnell:
Capital Securities and Spectrum Preferred and Capital Securities Income
Fund | ||||
Registered
investment companies |
8 |
$10.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.7 billion |
0 |
$0 |
Other
accounts |
70 |
$8.2 billion |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Fernando
(“Fred”) Diaz |
Capital
Securities |
None |
Fernando
(“Fred”) Diaz |
Spectrum
Preferred and Capital Securities Income |
None |
Roberto
Giangregorio |
Capital
Securities |
None |
Roberto
Giangregorio |
Spectrum
Preferred and Capital Securities Income |
$50,001 -
$100,000 |
L.
Phillip Jacoby, IV |
Capital
Securities |
None |
L.
Phillip Jacoby, IV |
Spectrum
Preferred and Capital Securities Income |
$500,001 -
$1,000,000 |
Manu
Krishnan |
Capital
Securities |
None |
Manu
Krishnan |
Spectrum
Preferred and Capital Securities Income |
$500,001 -
$1,000,000 |
Mark
A. Lieb |
Capital
Securities |
None |
Mark
A. Lieb |
Spectrum
Preferred and Capital Securities Income |
Over
$1,000,000 |
Kevin
Nugent |
Spectrum
Preferred and Capital Securities Income |
None |
Satomi
Yarnell |
Capital
Securities |
None |
Satomi
Yarnell |
Spectrum
Preferred and Capital Securities Income |
None |
Aaa: |
Obligations
rated Aaa are judged to be of the highest quality, subject to the lowest
level of credit risk. |
Aa: |
Obligations
rated Aa are judged to be of high quality and are subject to very low
credit risk. |
A: |
Obligations
rated A are considered upper-medium grade and are subject to low credit
risk. |
Baa: |
Obligations
rated Baa are subject to moderate credit risk. They are considered
medium-grade and as such may
possess
certain speculative characteristics. |
Ba: |
Obligations
rated Ba are judged to be speculative and are subject to substantial
credit risk. |
B: |
Obligations
rated B are considered speculative and are subject to high credit
risk. |
Caa: |
Obligations
rated Caa are judged to be speculative of poor standing and are subject to
very high credit risk. |
Ca: |
Obligations
rated Ca are highly speculative and are likely in, or very near, default,
with some prospect of
recovery
of principal and interest. |
C: |
Obligations
rated C are the lowest rated class of bonds and are typically in default,
with little prospect for
recovery
of principal or interest. |
NOTE: |
Moody’s
appends numerical modifiers, 1, 2, and 3 to each generic rating
classification from Aa through Caa.
The
modifier 1 indicates that the obligation ranks in the higher end of its
generic rating category, the modifier 2
indicates
a mid-range ranking, and the modifier 3 indicates a ranking in the lower
end of that generic rating
category.
Additionally, a “(hyb)” indicator is appended to all ratings of hybrid
securities issued by banks, issuers,
financial
companies, and securities
firms.* |
AAA: |
Obligations
rated ‘AAA’ have the highest rating assigned by S&P Global Ratings.
The obligor’s capacity to
meet
its financial commitment on the obligation is extremely
strong. |
AA: |
Obligations
rated ‘AA’ differ from the highest-rated issues only in small degree. The
obligor’s capacity to
meet
its financial commitment on the obligation is very
strong. |
A: |
Obligations
rated ‘A’ have a strong capacity to meet financial commitment on the
obligation although they
are
somewhat more susceptible to the adverse effects of changes in
circumstances and economic
conditions
than obligations in higher-rated categories. |
BBB: |
Obligations
rated ‘BBB’ exhibit adequate protection parameters; however, adverse
economic conditions or
changing
circumstances are more likely to lead to a weakened capacity to meet
financial commitment on
the
obligation. |
BB,
B, CCC,
CC
and C: |
Obligations
rated ‘BB’, ‘B’, ‘CCC’, ‘CC’, and ‘C’ are regarded, on balance, as having
significant speculative
characteristics.
‘BB’ indicates the lowest degree of speculation and ‘C’ the highest degree
of speculation.
While
such obligations will likely have some quality and protective
characteristics, these may be
outweighed
by large uncertainties or major risk exposures to adverse
conditions. |
BB: |
Obligations
rated ‘BB’ are less vulnerable to nonpayment than other speculative
issues. However it faces
major
ongoing uncertainties or exposure to adverse business, financial, or
economic conditions which
could
lead to the obligor’s inadequate capacity to meet its financial commitment
on the obligation. |
B: |
Obligations
rated ‘B’ are more vulnerable to nonpayment than ‘BB’ but the obligor
currently has the
capacity
to meet its financial commitment on the obligation. Adverse business,
financial, or economic
conditions
will likely impair this capacity. |
CCC: |
Obligations
rated ‘CCC’ are currently vulnerable to nonpayment and is dependent upon
favorable
business,
financial, and economic conditions for the obligor to meet its financial
commitment on the
obligation.
If adverse business, financial, or economic conditions occur, the obligor
is not likely to have the
capacity
to meet its financial commitment on the
obligation. |
CC: |
Obligations
rated ‘CC’ are currently highly vulnerable to nonpayment. The ‘CC’ rating
is used when a
default
has not yet occurred but S&P Global Ratings expects default to be a
virtual certainty, regardless of
anticipated
time to default. |
C: |
The
rating ‘C’ is highly vulnerable to nonpayment, the obligation is expected
to have lower relative seniority
or
lower ultimate recovery compared to higher rated
obligations. |
D: |
Obligations
rated ‘D’ are in default, or in breach of an imputed promise. For
non-hybrid capital instruments,
the
‘D’ rating category is used when payments on an obligation are not made on
the date due, unless S&P
Global
Ratings believes that such payments will be made within five business days
in the absence of a
stated
grace period or within the earlier of the stated grace period or 30
calendar days. The rating will also
be
used upon filing for bankruptcy petition or the taking of similar action
and where default is a virtual
certainty.
If an obligation is subject to a distressed exchange offer the rating is
lowered to ‘D’. |
NR: |
Indicates
that no rating has been requested, that there is insufficient information
on which to base a rating or
that
S&P Global Ratings does not rate a particular type of obligation as a
matter of policy. |
A-1: |
This
is the highest category. The obligor’s capacity to meet its financial
commitment on the obligation is strong.
Within
this category, certain obligations are designated with a plus sign (+).
This indicates that the obligor’s
capacity
to meet its financial commitment on these obligations is extremely
strong. |
A-2: |
Issues
carrying this designation are somewhat more susceptible to the adverse
effects of the changes in
circumstances
and economic conditions than obligations in higher rating categories.
However, the obligor’s
capacity
to meet its financial commitment on the obligation is
satisfactory. |
A-3: |
Issues
carrying this designation exhibit adequate capacity to meet their
financial obligations. However, adverse
economic
conditions or changing circumstances are more likely to lead to a weakened
capacity of the obligor to
meet
it financial commitment on the obligation. |
B: |
Issues
rated ‘B’ are regarded as vulnerable and have significant speculative
characteristics. The obligor has
capacity
to meet financial commitments; however, it faces major ongoing
uncertainties which could lead to
obligor’s
inadequate capacity to meet its financial
obligations. |
C: |
This
rating is assigned to short-term debt obligations that are currently
vulnerable to nonpayment and is
dependent
upon favorable business, financial, and economic conditions to meet its
financial commitment on the
obligation. |
D: |
This
rating indicates that the issue is either in default or in breach of an
imputed promise. For non-hybrid capital
instruments,
the ‘D’ rating category is used when payments on an obligation are not
made on the date due,
unless
S&P Global Ratings believes that such payments will be made within
five business days in the absence
of
a stated grace period or within the earlier of the stated grace period or
30 calendar days. The rating will also
be
used upon filing for bankruptcy petition or the taking of similar action
and where default is a virtual certainty.
If
an obligation is subject to a distressed exchange offer the rating is
lowered to ‘D’. |
SP-1: |
A
strong capacity to pay principal and interest. Issues that possess a very
strong capacity to pay debt service is
given
a “+” designation. |
SP-2: |
A
satisfactory capacity to pay principal and interest, with some
vulnerability to adverse financial and economic
changes
over the terms of the notes. |
SP-3: |
A
speculative capacity to pay principal and
interest. |
Class
A
Maximum
Offering Price Calculation | |||
|
NAV |
= |
Maximum
Offering Price |
(1-Sales
Charge Percentage) |
Fund | |||
Blue
Chip |
$29.35 |
= |
$31.06 |
(1-.0550) | |||
Diversified
Real Asset |
$12.73 |
= |
$13.23 |
(1-.0375) | |||
Edge
MidCap |
$11.95 |
= |
$12.65 |
(1-.0550) | |||
Global
Multi-Strategy |
$11.06 |
= |
$11.49 |
(1-.0375) | |||
Opportunistic
Municipal |
$9.80 |
= |
$10.18 |
(1-.0375) | |||
Origin
Emerging Markets |
$9.83 |
= |
$10.40 |
(1-.0550) | |||
Small-MidCap
Dividend Income |
$15.94 |
= |
$16.87 |
(1-.0550) | |||
Spectrum
Preferred and Capital Securities
Income |
$9.13 |
= |
$9.49 |
(1-.0375) |
1.
Security Name I Symbol: | |
| |
2.
Issue up for vote: | |
| |
| |
3.
Summary of ISS recommendation (see attached full ISS
recommendation): | |
| |
| |
4.
Reasons for voting against ISS recommendation (supporting documentation
may be attached): | |
| |
| |
5.
Determination of potential conflicts (if any): | |
| |
| |
6.
Contacted Compliance Department: Yes / No | |
Name
of individual contacted: |
|
Date: |
|
7.
Contacted other Spectrum portfolio managers who have position in same
security: | |
Yes
/ No |
|
Name
of individual contacted: |
|
Date: |
|
8.
Portfolio Manager Signature: | |
Date: |
|
Portfolio
Manager Name: |
|
Portfolio
Manager Signature*: |
|
Date: |
|
Portfolio
Manager Name: |
|