Fund Name
|
| |
Class I
|
| |
Class R5
|
| |
Service Class |
| |
Administrative Class |
| |
Class R4
|
| |
Class A
|
| |
Class R3
|
| |
Class Y
|
| |
Class L
|
| |
Class C
|
|
MassMutual Short-Duration Bond Fund |
| |
MSTZX
|
| |
MSTDX
|
| |
MSBYX
|
| |
MSTLX
|
| |
MPSDX
|
| |
MSHAX
|
| |
MSDNX
|
| |
BXDYX
|
| |
BXDLX
|
| |
BXDCX |
|
MassMutual High Yield Fund |
| |
MPHZX
|
| |
MPHSX
|
| |
DLHYX
|
| |
MPHLX
|
| |
MPHRX
|
| |
MPHAX
|
| |
MPHNX
|
| |
BXHYX
|
| | | | |
BXHCX |
|
| | |
Page |
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| | | | 99 | | | |
| | | | A-1 | | | |
| | | | B-1 | | | |
| | | | C-1 | | |
| Allan W. Blair
1295 State Street Springfield, MA 01111-0001 Year of birth: 1948 Trustee of the Trust since 2012 Trustee of 115 portfolios in fund complex |
| | Trustee of the Trust | |
| Nabil N. El-Hage
1295 State Street Springfield, MA 01111-0001 Year of birth: 1958 Trustee of the Trust since 2003 Trustee of 116 portfolios in fund complex |
| | Trustee of the Trust | |
| Maria D. Furman
1295 State Street Springfield, MA 01111-0001 Year of birth: 1954 Trustee of the Trust since 2004 Trustee of 115 portfolios in fund complex |
| | Trustee of the Trust | |
| R. Alan Hunter,
Jr. 1295 State Street Springfield, MA 01111-0001 Year of birth: 1946 Trustee of the Trust since 2012 Trustee of 115 portfolios in fund complex |
| | Trustee of the Trust | |
| C. Ann Merrifield
1295 State Street Springfield, MA 01111-0001 Year of birth: 1951 Trustee of the Trust since 2004 Trustee of 115 portfolios in fund complex |
| | Trustee of the Trust | |
| Susan B. Sweeney
1295 State Street Springfield, MA 01111-0001 Year of birth: 1952 Chairperson of the Trust since 2022 Trustee of the Trust since 2012 Trustee of 118 portfolios in fund complex1 |
| | Chairperson and Trustee of the Trust | |
| Michael R.
Fanning2
1295 State Street Springfield, MA 01111-0001 Year of birth: 1963 Trustee of the Trust since 2021 Trustee of 115 portfolios in fund complex |
| | Trustee of the Trust | |
| Clifford M.
Noreen3 1295 State Street Springfield, MA 01111-0001 Year of birth: 1957 Trustee of the Trust since 2021 Trustee of 117 portfolios in fund complex4 |
| | Trustee of the Trust | |
| Andrea Anastasio
1295 State Street Springfield, MA 01111-0001 Year of birth: 1974 Officer of the Trust since 2021 Officer of 115 portfolios in fund complex |
| | Vice President | |
| Andrew M.
Goldberg 1295 State Street Springfield, MA 01111-0001 Year of birth: 1966 Officer of the Trust since 2004 Officer of 116 portfolios in fund complex |
| | Vice President, Secretary, and Chief Legal Officer of the Trust | |
| Renee Hitchcock
1295 State Street Springfield, MA 01111-0001 Year of birth: 1970 Officer of the Trust since 2007 Officer of 116 portfolios in fund complex |
| | Chief Financial Officer and Treasurer of the Trust | |
| Aruna Hobbs
1295 State Street Springfield, MA 01111-0001 Year of birth: 1960 Officer of the Trust since 2021 Officer of 115 portfolios in fund complex |
| | Vice President | |
| Paul LaPiana
1295 State Street Springfield, MA 01111-0001 Year of birth: 1969 Officer of the Trust since 2021 Officer of 115 portfolios in fund complex |
| | President of the Trust | |
| Jill Nareau
Robert 1295 State Street Springfield, MA 01111-0001 Year of birth: 1972 Officer of the Trust since 2008 Officer of 116 portfolios in fund complex |
| | Vice President and Assistant Secretary of the Trust | |
| Douglas Steele
1295 State Street Springfield, MA 01111-0001 Year of birth: 1975 Officer of the Trust since 2016 Officer of 115 portfolios in fund complex |
| | Vice President of the Trust | |
| Philip S. Wellman
1295 State Street Springfield, MA 01111-0001 Year of birth: 1964 Officer of the Trust since 2007 Officer of 116 portfolios in fund complex |
| | Vice President and Chief Compliance Officer of the Trust | |
Name
of Trustee |
| |
The
Dollar Range of Equity Securities Beneficially Owned in the Trust |
| |
Aggregate Dollar Range of Equity Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
| ||||||
Independent Trustees | | | | | | | | | | | | | |
Allan
W. Blair |
| | | | None | | | |
over
$100,000 |
| |||
Nabil
N. El-Hage |
| | | | None | | | | | | None | | |
Maria
D. Furman |
| | | | None | | | | | | None | | |
R.
Alan Hunter, Jr. |
| | | | None | | | | | | None | | |
C.
Ann Merrifield |
| | | | None | | | | | | None | | |
Susan
B. Sweeney |
| | | | None | | | | | | None | | |
Interested Trustees | | | | | | | | | | | | | |
Michael R. Fanning |
| | | | None | | | | | | None | | |
Clifford M. Noreen |
| | | | None | | | | | | None | | |
Name
of Trustee |
| |
Aggregate Compensation from the Trust |
| |
Deferred Compensation and Interest Accrued as part of Fund Expenses |
| |
Total Compensation from the Trust and Fund Complex Paid to Trustees |
| |||||||||
Allan
W. Blair |
| | | $ | 26,962 | | | | | $ | 0 | | | | | $ | 281,404 | | |
Nabil
N. El-Hage |
| | | $ | 27,581 | | | | | $ | 0 | | | | | $ | 288,904 | | |
Michael R. Fanning1
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
Maria
D. Furman |
| | | $ | 25,518 | | | | | $ | 0 | | | | | $ | 263,904 | | |
Teresa A. Hassara2
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
R.
Alan Hunter, Jr. |
| | | $ | 32,943 | | | | | $ | 0 | | | | | $ | 353,904 | | |
Robert E. Joyal3
|
| | | $ | 0 | | | | | $ | 12,243 | | | | | $ | 203,821 | | |
C.
Ann Merrifield |
| | | $ | 25,518 | | | | | $ | 0 | | | | | $ | 263,904 | | |
Clifford M. Noreen1
|
| | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
Susan
B. Sweeney |
| | | $ | 26,756 | | | | | $ | 0 | | | | | $ | 403,804 | | |
Class
|
| |
Name
and Address of Owner |
| |
Percent
of Class |
| |||
Class I | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 26.65% | | |
| | | MassMutual 20/80 Allocation Fund 1 Iron Street Boston, MA 02210 |
| | | | 20.65% | | |
| | | MassMutual 40/60 Allocation Fund 1 Iron Street Boston, MA 02210 |
| | | | 14.26% | | |
| | | Voya Institutional Trust Company FBO Mercedes Benz 30 Braintree Hill Office Park Braintree, MA 02184 |
| | | | 7.32% | | |
| | | MassMutual 60/40 Allocation Fund 1 Iron Street Boston, MA 02210 |
| | | | 6.91% | | |
Class R5 | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 73.14% | | |
| | | Matrix Trust Company Trustee FBO Formosa Plastics Corporation, U.S.A. P.O. Box 52129 Phoenix, AZ 85072 |
| | | | 24.37% | | |
Service Class | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 60.91% | | |
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 33.47% | | |
Administrative Class | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 90.79% | | |
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 8.17% | | |
Class R4 | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 48.94% | | |
Class
|
| |
Name
and Address of Owner |
| |
Percent
of Class |
| |||
| | | Talcott Resolution Life Insurance Company
1 Griffin Road North Windsor, CT 06095 |
| | | | 26.68% | | |
| | | Reliance Trust Company FBO MassMutual Omnibus PPL/SMF 1100 Abernathy Road Atlanta, GA 30328 |
| | | | 14.29% | | |
| | | Matrix Trust Company Trustee FBO Kayser-Roth Corporation Supplemental Retirement Plan P.O. Box 52129 Phoenix, AZ 85072 |
| | | | 8.04% | | |
Class A | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 83.76% | | |
| | | Pershing LLC P.O. Box 2052 Jersey City, NJ 07303 |
| | | | 7.48% | | |
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 5.83% | | |
Class R3 | | | Sammons Financial Network 4546 Corporate Drive, Suite 100 West Des Moines, IA 50266 |
| | | | 59.30% | | |
| | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 31.57% | | |
| | | Reliance Trust Company FBO MassMutual Omnibus PPL/SMF 1100 Abernathy Road, Suite 400 Atlanta, GA 30328 |
| | | | 7.59% | | |
Class Y | | | Charles Schwab Corporation Special Custody A/C FBO Customers 211 Main Street San Francisco, CA 94105-1905 |
| | | | 39.62% | | |
| | | Morgan Stanley Smith Barney LLC 2000 Westchester Avenue Purchase, NY 10577 |
| | | | 23.67% | | |
| | | National Financial Services LLC 499 Washington Boulevard Jersey City, NJ 07310 |
| | | | 13.72% | | |
| | | UBS WM USA Omni Account M/F 1000 Harbor Boulevard, Floor 5 Weehawken, NJ 07086 |
| | | | 8.43% | | |
Class L | | | Morgan Stanley Smith Barney LLC 2000 Westchester Avenue Purchase, NY 10577 |
| | | | 64.94% | | |
Class
|
| |
Name
and Address of Owner |
| |
Percent
of Class |
| |||
| | | RBC Capital Markets LLC Mutual Fund Omnibus 60 South 6th Street, Suite 700 #P08 Minneapolis, MN 55402 |
| | | | 13.87% | | |
| | | National Financial Services LLC 499 Washington Boulevard Jersey City, NJ 07310 |
| | | | 8.92% | | |
Class C | | | Morgan Stanley Smith Barney LLC 2000 Westchester Avenue Purchase, NY 10577 |
| | | | 47.94% | | |
| | | RBC Capital Markets LLC Mutual Fund Omnibus 60 South 6th Street, Suite 700 #P08 Minneapolis, MN 55402 |
| | | | 25.07% | | |
| | | LPL Financial 156 Alabama Street Crestview, FL 32536 |
| | | | 11.72% | | |
| | | Raymond James Omnibus For Mutual Funds 880 Carillon Parkway St. Petersburg, FL 33716 |
| | | | 7.71% | | |
| | | National Financial Services LLC 499 Washington Boulevard Jersey City, NJ 07310 |
| | | | 7.55% | | |
Class
|
| |
Name
and Address of Owner |
| |
Percent
of Class |
| |||
Class I | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 37.91% | | |
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 7.95% | | |
| | | MassMutual RetireSMARTSM by JPMorgan 2030 Fund 1 Iron Street Boston, MA 02210 |
| | | | 7.65% | | |
| | | MassMutual RetireSMARTSM by JPMorgan 2020 Fund 1 Iron Street Boston, MA 02210 |
| | | | 6.84% | | |
Class R5 | | | Talcott Resolution Life Insurance Company
1 Griffin Road North Windsor, CT 06095 |
| | | | 28.68% | | |
| | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 22.66% | | |
Class
|
| |
Name
and Address of Owner |
| |
Percent
of Class |
| |||
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 22.41% | | |
| | | DCGT as Trustee and/or Custodian FBO PLIC Various Retirement Plans Omnibus 711 High Street Des Moines, IA 50392 |
| | | | 6.29% | | |
| | | National Financial Services LLC 499 Washington Boulevard Jersey City, NJ 07310 |
| | | | 5.57% | | |
Service Class | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 41.03% | | |
| | | Reliance Trust Company FBO MM Stationary Engineers Local P.O. Box 78446 Atlanta, GA 30362 |
| | | | 19.55% | | |
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 17.93% | | |
| | | The Hartford One Hartford Plaza Hartford, CT 06155 |
| | | | 7.59% | | |
Administrative Class | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 49.91% | | |
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 38.41% | | |
| | | Great-West Trust Company LLC FBO Employee Benefits Clients 401K 8515 East Orchard Road, 2T2 Greenwood Village, CO 80111 |
| | | | 5.89% | | |
Class R4 | | | DCGT as Trustee and/or Custodian FBO PLIC Various Retirement Plans Omnibus 711 High Street Des Moines, IA 50392 |
| | | | 35.69% | | |
| | | Talcott Resolution Life Insurance Company
1 Griffin Road North Windsor, CT 06095 |
| | | | 27.37% | | |
| | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 20.29% | | |
Class
|
| |
Name
and Address of Owner |
| |
Percent
of Class |
| |||
| | | Reliance Trust Company FBO MassMutual Omnibus PPL/SMF 1100 Abernathy Road Atlanta, GA 30328 |
| | | | 5.63% | | |
Class A | | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 63.57% | | |
| | | Reliance Trust Company FBO MassMutual RP P.O. Box 48529 Atlanta, GA 30362 |
| | | | 18.56% | | |
Class R3 | | | Talcott Resolution Life Insurance Company
1 Griffin Road North Windsor, CT 06095 |
| | | | 56.63% | | |
| | | Massachusetts Mutual Life Insurance Company
1295 State Street Springfield, MA 01111 |
| | | | 31.25% | | |
| | | Reliance Trust Company FBO MassMutual Omnibus PPL/SMF 1100 Abernathy Road Atlanta, GA 30328 |
| | | | 7.65% | | |
Class Y | | | Jewish Communal Fund 575 Madison Avenue, Suite 703 New York, NY 10022 |
| | | | 55.03% | | |
| | | Barings LLC 300 South Tryon Street, Suite 2500 Charlotte, NC 28202 |
| | | | 29.96% | | |
| | | Charles Schwab Corporation Special Custody A/C FBO Customers 211 Main Street San Francisco, CA 94105-1905 |
| | | | 13.63% | | |
Class C | | | Barings LLC 300 South Tryon Street, Suite 2500 Charlotte, NC 28202 |
| | | | 100.00% | | |
Fund
|
| | | |
Short-Duration Bond Fund |
| | 0.35% on the first $500 million; and | |
| | | 0.30% on assets over $500 million | |
High
Yield Fund |
| | 0.48% on the first $250 million; and | |
| | | 0.455% on assets over $250 million | |
|
Short-Duration Bond Fund |
| | 0.08% | |
|
High
Yield Fund |
| | 0.20% | |
| | |
Class I |
| |
Class R5 |
| |
Service Class |
| |
Administrative Class |
| |
Class R4 |
| |
Class A |
| |
Class R3 |
| |
Class Y |
| |
Class L |
| |
Class C |
| ||||||||||||||||||||||||||||||
Short-Duration Bond Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.10% | | | | | | 0.05% | | | | | | 0.05% | | |
High
Yield Fund |
| | | | None | | | | | | 0.10% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.30% | | | | | | 0.20% | | | | | | 0.05% | | | | | | N/A | | | | | | None | | |
| | |
Fiscal Year Ended September 30, 2021
|
| |||||||||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Supplemental Shareholder Services Fees Paid |
| |
Other Expenses Reimbursed |
| ||||||||||||||||||
Short-Duration Bond Fund |
| | | $ | 1,393,181 | | | | | $ | 315,802 | | | | | $ | — | | | | | $ | 342,861 | | | | | $ | 31,547 | | | | | $ | — | | |
High
Yield Fund |
| | | | 2,686,755 | | | | | | 1,141,390 | | | | | | — | | | | | | 378,655 | | | | | | 23,028 | | | | | | — | | |
| | |
Fiscal Year Ended September 30, 2020
|
| |||||||||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Supplemental Shareholder Services Fees Paid |
| |
Other Expenses Reimbursed |
| ||||||||||||||||||
Short-Duration Bond Fund |
| | | $ | 1,644,782 | | | | | $ | 374,793 | | | | | | — | | | | | $ | 358,088 | | | | | $ | 140,891 | | | | | | — | | |
High
Yield Fund |
| | | | 2,503,820 | | | | | | 1,060,289 | | | | | | — | | | | | | 341,659 | | | | | | 98,365 | | | | | | — | | |
| | |
Fiscal Year Ended September 30, 2019
|
| |||||||||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Supplemental Shareholder Services Fees Paid |
| |
Other Expenses Reimbursed |
| ||||||||||||||||||
Short-Duration Bond Fund |
| | | $ | 1,747,768 | | | | | $ | 400,014 | | | | | | — | | | | | $ | 407,893 | | | | | $ | 140,891 | | | | | | — | | |
High
Yield Fund |
| | | | 2,569,909 | | | | | | 1,094,721 | | | | | | — | | | | | | 359,751 | | | | | | 104,550 | | | | | | — | | |
| | |
Class R4 12b-1 Servicing Fees |
| |
Class A 12b-1 Servicing Fees |
| |
Class R3 12b-1 Servicing Fees |
| |
Class R3 12b-1 Distribution Fees |
| ||||||||||||
Short-Duration Bond Fund |
| | | $ | 27,947 | | | | | $ | 103,232 | | | | | $ | 23,305 | | | | | $ | 23,305 | | |
High
Yield Fund |
| | | | 101,471 | | | | | | 52,229 | | | | | | 86,319 | | | | | | 86,319 | | |
| | | | $ | 129,418 | | | | | $ | 155,461 | | | | | $ | 109,624 | | | | | $ | 109,624 | | |
Regular
Broker or Dealer |
| |
Aggregate Value of Securities Held |
| |||
Goldman Sachs Group, Inc. |
| | | $ | 3,736,616 | | |
Citigroup, Inc. |
| | | | 3,097,888 | | |
Bank
of America Corp. |
| | | | 2,723,842 | | |
Morgan Stanley |
| | | | 2,658,256 | | |
UBS
Group AG |
| | | | 1,954,756 | | |
Credit Suisse AG |
| | | | 1,915,025 | | |
Barclays Plc |
| | | | 1,892,261 | | |
JPMorgan Chase & Co. |
| | | | 933,546 | | |
| | | | $ | 18,912,190 | | |
FUND
|
| |
Gross income earned by the Fund from securities lending activities |
| |
Fees
paid to securities lending agent from a revenue split |
| |
Fees
paid for any cash collateral management service (including fees deducted from a pooled cash collateral reinvestment vehicle) that are not included in a revenue split |
| |
Administrative fees not included in a revenue split |
| |
Indemnification fees not included in a revenue split |
| |
Rebate (paid to borrower) |
| |
Other fees not included in a revenue split, if applicable, including a description of those other fees |
| |
Aggregate fees/ compensation paid by the Fund for securities lending activities |
| |
Net
income from securities lending activities |
| |||||||||||||||||||||||||||
Short-Duration Bond Fund |
| | | $ | 847 | | | | | $ | 107 | | | | | $ | 130 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 996 | | | | | $ | 238 | | | | | $ | 609 | | |
High
Yield Fund |
| | | $ | 22,322 | | | | | $ | 3,181 | | | | | $ | 1,114 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 4,295 | | | | | $ | 18,027 | | |
|
Description/ Requirement |
| |
Barings Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| The Trading Practices Committee review of Policy, proxy activity, and approval of Proxy Voting Forms | | | Trading Practices Committee meeting materials | | | Proxy Voting Team | | | Trading Practices Committee Chairperson | | |
7 Years |
| | Barings Policy Requirement and Investment
Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers |
|
| Proxy statements, research, recommendations, and records of votes cast | | | Proxy Records | | | Service Provider or Proxy Voting Team | | | Service Provider or Proxy Voting Team | | |
7 Years |
| | Barings Policy Requirement and Investment
Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers |
|
| Proxy Voting Forms (including supporting documentation used in deciding how to vote) | | | Proxy Voting Forms | | | Proxy Voting Team and/or Proxy Analyst | | | Proxy Voting Team | | |
7 Years |
| | Barings Policy Requirement and Investment
Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers |
|
| Client written requests for proxy voting information and responses thereto | | | Client Proxy Requests | | | Proxy Voting Team | | | Proxy Voting Team | | |
7 Years |
| | Barings Policy Requirement and Investment
Advisers Act of 1940, Rule 206(4)-6 Barings Policy requirement for Barings US regulated Advisers |
|
|
Description/ Requirement |
| |
Barings Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| Form N-PX, for proxies voted on behalf of an investment company for which Barings serves as investment adviser and is responsible for making such filing on behalf of its Clients | | | Form N-PX | | | Proxy Voting Team | | | Proxy Voting Team | | |
7 Years |
| | Barings Policy requirement and
Investment Advisers Act of 1940, Rule 206(4)-6 for Barings US regulated Advisers Rule 30b1-4 |
|
| The Proxy Voting Policy, associated procedures and any amendments thereto | | | Proxy Voting Policy | | | Compliance Department | | | Compliance Department | | |
7 Years |
| | Barings Policy requirement | |
| A copy of the Research Provider’s proxy voting guidelines | | | Research Provider’s Proxy Voting Guidelines | | | Research Provider | | | Proxy Voting Team | | |
7 Years |
| | Barings Policy requirement | |
| | |
Number of Accounts Managed* |
| |
Total Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets* |
| ||||||||||||
Yulia Alekseeva | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 7 | | | | | $ | 4,470 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 3 | | | | | $ | 710 million | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 23 | | | | | $ | 13,687 million | | | | | | 0 | | | | | $ | 0 | | |
Stephen Ehrenberg | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 5 | | | | | $ | 3,804 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 2 | | | | | $ | 478 million | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 39 | | | | | $ | 57,562 million | | | | | | 0 | | | | | $ | 0 | | |
Natalia Krol | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 3 | | | | | $ | 1,370 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 0 | | | | | $ | 0 | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 12 | | | | | $ | 5,226 million | | | | | | 0 | | | | | $ | 0 | | |
Omotunde Lawal | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 4 | | | | | $ | 1,549 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 2 | | | | | $ | 441 million | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 15 | | | | | $ | 6,241 million | | | | | | 0 | | | | | $ | 0 | | |
Charles Sanford | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 5 | | | | | $ | 3,804 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 3 | | | | | $ | 574 million | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 81 | | | | | $ | 104,896 million | | | | | | 0 | | | | | $ | 0 | | |
Douglas Trevallion, II | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 7 | | | | | $ | 4,470 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 3 | | | | | $ | 337 million | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 29 | | | | | $ | 13,481 million | | | | | | 0 | | | | | $ | 0 | | |
| | |
Number of Accounts Managed* |
| |
Total Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total Assets* |
| ||||||||||||
Sean Feeley | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 8 | | | | | $ | 1,809 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 9 | | | | | $ | 3,682 million | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 25 | | | | | $ | 4,720 million | | | | | | 0 | | | | | $ | 0 | | |
Scott Roth | | | | | | | | | | | | | | | | | | | | | | | | | |
Registered investment companies**
|
| | | | 5 | | | | | $ | 839 million | | | | | | 0 | | | | | $ | 0 | | |
Other
pooled investment vehicles |
| | | | 12 | | | | | $ | 5,762 million | | | | | | 0 | | | | | $ | 0 | | |
Other
accounts |
| | | | 26 | | | | | $ | 4,061 million | | | | | | 0 | | | | | $ | 0 | | |