|
Share
Class
| ||
|
Investor
|
Advisor
|
Institutional
|
Artisan
Developing World Fund
|
ARTYX
|
APDYX
|
APHYX
|
Artisan
Focus Fund
|
ARTTX
|
APDTX
|
APHTX
|
Artisan
Global Discovery Fund
|
APFDX
|
APDDX
|
APHDX
|
Artisan
Global Equity Fund
|
ARTHX
|
APDHX
|
APHHX
|
Artisan
Global Opportunities Fund
|
ARTRX
|
APDRX
|
APHRX
|
Artisan
Global Value Fund
|
ARTGX
|
APDGX
|
APHGX
|
Artisan
High Income Fund
|
ARTFX
|
APDFX
|
APHFX
|
Artisan
International Fund
|
ARTIX
|
APDIX
|
APHIX
|
Artisan
International Small-Mid Fund
|
ARTJX
|
APDJX
|
APHJX
|
Artisan
International Value Fund
|
ARTKX
|
APDKX
|
APHKX
|
Artisan
Mid Cap Fund
|
ARTMX
|
APDMX
|
APHMX
|
Artisan
Mid Cap Value Fund
|
ARTQX
|
APDQX
|
APHQX
|
Artisan
Select Equity Fund
|
ARTNX
|
APDNX
|
APHNX
|
Artisan
Small Cap Fund
|
ARTSX
|
APDSX
|
APHSX
|
Artisan
Sustainable Emerging Markets Fund
|
ARTZX
|
—
|
APHEX
|
Artisan
Value Fund
|
ARTLX
|
APDLX
|
APHLX |
2
| |
2
| |
2
| |
24
| |
26
| |
26
| |
34
| |
37
| |
40
| |
44
| |
47
| |
47
| |
47
| |
51
| |
52
| |
54
| |
55
| |
62
| |
62
| |
62
| |
62
| |
62 |
Fund
|
Fiscal Year
Ended 30 September 2020 |
Fiscal Year
Ended 30 September 2019 |
Developing
World Fund |
138.63%
|
159.86%
|
Focus
Fund |
285.25
|
368.38
|
Global
Discovery Fund |
40.44
|
52.30
|
Global
Equity Fund |
137.93
|
91.33
|
Global
Opportunities Fund |
44.27
|
48.64
|
Global
Value Fund |
37.09
|
31.18
|
High
Income Fund |
71.78
|
74.82
|
International
Fund |
53.82
|
41.01
|
International
Small-Mid Fund |
27.84
|
55.98
|
International
Value Fund |
28.06
|
23.69
|
Mid
Cap Fund |
44.52
|
47.96
|
Mid
Cap Value Fund |
43.12
|
19.18
|
Select
Equity Fund |
26.961
|
-
|
Small
Cap Fund |
40.59
|
47.32
|
Sustainable
Emerging Markets Fund |
21.57
|
30.58
|
Value
Fund |
39.07
|
28.36 |
Name
and
Age
at
1
January 2021 |
Position(s)
Held
with
Artisan
Partners
Funds
|
Date
First
Elected
or
Appointed
to
Office |
Principal
Occupation(s)
during
Past 5 Years |
Other
Public
Company
or
Registered
Investment
Company
Directorships
Held |
Experience,
Qualifications,
Attributes,
Skills for Board
Membership
|
Directors
who are not “interested persons” of Artisan Partners Funds:
*
| |||||
Coleen
Downs Dinneen, 60 |
Director
and
Chair
of the
Education
Committee
|
1
Jan 2018 |
Retired;
until 2016, Executive
Vice
President and General
Counsel,
Natixis Global Asset
Management
– US
Distribution
and Chief Legal
Officer
and Secretary,
Natixis/Loomis
Funds |
None
|
Significant
executive
experience
including past
service
as chief legal officer
of
investment management
company
and responsibility
for
mutual fund legal
administration,
compliance
and
fund administration |
Gail
L. Hanson, 65 |
Director
and
Independent
Chair
of the
Board
of
Directors
|
Director
since
1 Jan
2012;
Independent
Chair
since 1
Jan
2019 |
Retired;
from February 2011
to
April 2018, Chief Financial
Officer,
Aurora Health Care
(not
for profit health care
provider);
from September
2004
to February 2011,
Deputy
Executive Director,
State
of Wisconsin
Investment
Board |
Director,
Northwestern
Mutual
Series Fund, Inc.
(investment
company) (27
portfolios)
|
Significant
executive
experience
including past
service
as chief financial
officer
and service as deputy
executive
director of a state
investment
board; certified
financial
analyst and
certified
public accountant;
audit
committee financial
expert
|
Bonnie
L. Howard, 67 |
Director
and
Chair
of the
Audit
Committee
|
9
Mar 2018 |
Director,
Chair of the Risk
Oversight
Committee and
member
of the Audit
Committee,
Assured
Guaranty
Ltd. (August 2012
to
present); Director, BMO
Financial
Corp and BMO
Harris
Bank, N.A. (September
2013
to April 2018); until
December
2011, Chief
Auditor
and Global Head of
Emerging
Risk, Citigroup,
Inc.
|
Director,
Assured Guaranty
Ltd
(insurance company) |
Significant
board
experience;
significant
executive
experience
including
past service as
chief
auditor of a global
financial
services firm;
certified
public accountant;
audit
committee financial
expert
|
Name
and
Age
at
1
January 2021 |
Position(s)
Held
with
Artisan
Partners
Funds
|
Date
First
Elected
or
Appointed
to
Office |
Principal
Occupation(s)
during
Past 5 Years |
Other
Public
Company
or
Registered
Investment
Company
Directorships
Held |
Experience,
Qualifications,
Attributes,
Skills for Board
Membership
|
William
J. Kelly, 60 |
Director
|
1
Jan 2020 |
Chief
Executive Officer,
Chartered
Alternative
Investment
Analyst (CAIA)
Association
(2014-present) |
None
|
Significant
board
experience;
significant
executive
experience
including
past service as
chief
executive officer of an
investment
management
company;
audit committee
financial
expert |
Peter
M. Lebovitz, 65 |
Director
and
Chair
of the
Governance
and
Nominating
Committee
|
1
Jul 2014 |
Managing
Partner, Harkness
Partners,
LLC (provider of
strategic
consulting to
investment
management
firms)
|
Independent
Director and
Chair,
Emles Trust
(investment
company) (6
portfolios)
|
Significant
board
experience;
significant
executive
experience
including
past service as
chief
executive officer of an
investment
management
company;
audit committee
financial
expert |
Peter
E. Sundman, 61 |
Director
|
1
Jan 2020 |
Trustee,
IES Abroad (since
2012);
Trustee, The College
of
Wooster (since 2003);
Trustee,
Frost Valley YMCA
(since
1998). Formerly, Chief
Executive
Officer,
ClearBridge
Advisors
(2009-2011);
Chairman and
Chief
Executive Officer,
Neuberger
Funds
(1999-2008);
President,
Neuberger
Berman
Management
(1999-2008) |
None
|
Significant
board
experience;
significant
executive
experience
including
past service as
chief
executive officer of an
investment
management
company |
Name
and
Age
at
1
January 2021 |
Position(s)
Held
with
Artisan
Partners
Funds
|
Date
First
Elected
or
Appointed
to
Office |
Principal
Occupation(s)
during
Past 5 Years |
Other
Public
Company
or
Registered
Investment
Company
Directorships
Held |
Experience,
Qualifications,
Attributes,
Skills for Board
Membership
|
Directors
who are “interested persons” of Artisan Partners Funds:
| |||||
Eric
R. Colson, 51†
|
Director
|
12
Nov 2013 |
Director,
Chief Executive
Officer
and Chair of
Artisan
Partners Asset
Management
Inc.; until
January
2021 President of
Artisan
Partners Asset
Management
Inc.; Managing
Director
and Chief Executive
Officer
of Artisan Partners;
until
January 2021 President
of
Artisan Partners; until
February
2020, President and
Chief
Executive Officer of
Artisan
Partners Funds |
None
|
Significant
executive
experience;
continuing
service
as Chief Executive
Officer
and Managing
Director
of Artisan Partners;
continuing
service as Chief
Executive
Officer and
Director
of Artisan Partners
Asset
Management Inc. |
Name
and
Age
at
1
January 2021 |
Position(s)
Held
with
Artisan
Partners
Funds
|
Date
First
Elected
or
Appointed
to
Office |
Principal
Occupation(s)
during
Past 5 Years |
Other
Public
Company
or
Registered
Investment
Company
Directorships
Held |
Experience,
Qualifications,
Attributes,
Skills for Board
Membership
|
Gregory
K. Ramirez, 50††
|
Director,
President
and
Chief
Executive
Officer
|
Director
since
1 Jan
2020;
President
and
Chief
Executive
Officer
since
12
Feb 2020 |
Managing
Director and Vice
President
of Artisan Partners;
Executive
Vice President of
Artisan
Partners Asset
Management
Inc.; until
February
2020, Chief
Financial
Officer, Vice
President
and Treasurer of
Artisan
Partners Funds; Chair
and
President of
Artisan
Partners Distributors
LLC
(“Distributors”); prior
thereto,
Vice President,
Treasurer
and Chief Financial
Officer
of Distributors;
Director
of Artisan Partners
Global
Funds plc; Director
(since
October 2016) of
certain
private funds
sponsored
by
Artisan
Partners |
None
|
Significant
executive
experience;
continuing
service
as Managing Director
and
Vice President of
Artisan
Partners; continuing
service
as Executive Vice
President
of Artisan Partners
Asset
Management Inc. and
continuing
service as Chair
and
President of Distributors |
Name
and
Age
at
1
January 2021 |
Position(s)
Held
with
Artisan
Partners
Funds
|
Date
First
Elected
or
Appointed
to
Office |
Principal
Occupation(s)
during
Past 5 Years |
Other
Public Company
or
Registered
Investment
Company
Directorships
Held |
Officers
of Artisan Partners Funds:
| ||||
Shannon
K. Jagodinski, 43 |
Chief
Financial
Officer,
Vice
President
and
Treasurer |
Chief
Financial
Officer
and
Treasurer
since
12 Feb
2020;
Vice
President
since
10 Feb
2015
|
Director
(since January 2016) of Vehicle
Administration
of Artisan Partners; prior
thereto,
Senior Manager; until February
2020,
Assistant Treasurer of Artisan Partners
Funds
|
None
|
Sarah
A. Johnson, 48 |
General
Counsel,
Vice
President
and
Secretary
|
8
Feb 2011 |
Managing
Director, Vice President, Secretary
and
General Counsel of Artisan Partners;
Executive
Vice President, Chief Legal Officer
and
Secretary of Artisan Partners Asset
Management
Inc.; Vice President and
Secretary
of Distributors |
None
|
Jill
M. Demski, 46 |
Chief
Compliance
Officer
and
Anti-Money
Laundering
Compliance
Officer
|
12
Feb 2020 |
Chief
Compliance Officer of Artisan Partners
Funds
since February 2020; Associate
Counsel
(since January 2019) and Director of
Compliance
of Artisan Partners; Chief
Compliance
Officer of Distributors since
October
2019 |
None
|
Laura
E. Simpson, 45 |
Vice
President
and
Assistant
Secretary
|
10
Feb 2015 |
Deputy
General Counsel of Artisan Partners;
Director
(since January 2018) of
Artisan
Partners Global Funds plc; Director
(since
July 2020) of certain private funds
sponsored
by Artisan Partners |
None
|
Name
and
Age
at
1
January 2021 |
Position(s)
Held
with
Artisan
Partners
Funds
|
Date
First
Elected
or
Appointed
to
Office |
Principal
Occupation(s)
during
Past 5 Years |
Other
Public Company
or
Registered
Investment
Company
Directorships
Held |
Timothy
K. Weston, 46 |
Vice
President
|
13
Feb 2019 |
Associate
General Counsel of
Artisan
Partners |
None
|
Timothy
A. Kahn, 37 |
Vice
President
|
12
Feb 2020 |
Associate
General Counsel (since January
2021)
of Artisan Partners; prior thereto,
Associate
Counsel of Artisan Partners |
None
|
Blake
A. Rigel, 50 |
Assistant
Treasurer
|
9
Feb 2016 |
Global
Tax Director and Tax Counsel of
Artisan
Partners |
None |
Committee
|
Members
of
Committee
|
Number
of
Meetings
|
Principal
Functions of Committee |
Audit
Committee
|
Coleen
Downs Dinneen
Gail
L. Hanson
Bonnie
L. Howard*
William
J. Kelly
Peter
M. Lebovitz
Peter
E. Sundman |
4
|
The
audit committee selects the independent auditors; meets with the
independent
auditors
and management to review the scope and the results of the audits of
Artisan
Partners Funds’ financial statements; confirms the independence of the
independent
auditors; reviews with the independent auditors and management the
effectiveness
and adequacy of Artisan Partners Funds’ internal controls; pre-approves
the
audit and certain non-audit services provided by the independent auditors;
receives
regular reports from Artisan Partners Funds’ chief compliance officer
regarding
the
operation of Artisan Partners Funds’ compliance program and procedures and
related
matters; and reviews legal and regulatory matters.
|
Education
Committee
|
Coleen
Downs Dinneen*
Gail
L. Hanson
Bonnie
L. Howard
William
J. Kelly
Peter
M. Lebovitz
Peter
E. Sundman |
4
|
The
education committee is responsible for creating and overseeing a program
of
continuing
education for directors. |
Governance
and
Nominating
Committee
|
Coleen
Downs Dinneen
Gail
L. Hanson
Bonnie
L. Howard
William
J. Kelly
Peter
M. Lebovitz*
Peter
E. Sundman |
3
|
The
governance and nominating committee makes recommendations to the board
regarding
board committees and committee assignments, the composition of the
board,
candidates for election as non-interested directors, executive officers of
Artisan
Partners Funds, compensation of directors who are not affiliated persons
of
Artisan
Partners and proposed changes to Artisan Partners Funds’ governing
documents,
and oversees the process for evaluating the functioning of the board.
Pursuant
to procedures and policies adopted under its charter, the governance and
nominating
committee will consider shareholder recommendations regarding
candidates
for election as directors. |
Valuation
Committee
|
Shannon
K. Jagodinski
Sarah
A. Johnson
Gregory
K. Ramirez
Laura
E. Simpson
Timothy
K. Weston |
557†
|
The
valuation committee is responsible for determining, in accordance with
Artisan
Partners Funds’ valuation procedures, a fair value for any portfolio
security for
which
market quotations are not readily
available. |
Directors
|
Aggregate
Compensation
from Artisan
Partners Funds |
Pension
or
Retirement
Benefits
Accrued as
Part
of Director
Expenses |
Estimated
Annual
Benefits
upon
Retirement
|
Aggregate
Compensation
from the
Artisan
Partners
Funds
Complex1
|
Coleen
Downs Dinneen2
|
$
305,000 |
$
0 |
$
0 |
$
305,000 |
Gail
L. Hanson3
|
$
360,000 |
$
0 |
$
0 |
$
360,000 |
Thomas
R. Hefty4
|
$
68,750 |
$
0 |
$
0 |
$
68,750 |
Bonnie
L. Howard5
|
$
320,000 |
$
0 |
$
0 |
$
320,000 |
Willian
J. Kelly6
|
$
211,250 |
$
0 |
$
0 |
$
211,250 |
Peter
M. Lebovitz |
$
305,000 |
$
0 |
$
0 |
$
305,000 |
Patrick
S. Pittard7
|
$
275,000 |
$
0 |
$
0 |
$
275,000 |
Peter
E. Sundman8
|
$
211,250 |
$
0 |
$
0 |
$
211,250 |
Eric
R. Colson9
|
$
0 |
$
0 |
$
0 |
$
0 |
Gregory
K. Ramirez9
|
$
0 |
$
0 |
$
0 |
$
0 |
Total
Director Compensation |
$
2,056,250 |
$
0 |
$
0 |
$
2,056,250 |
Fund
|
Directors who
are not interested persons of Artisan Partners Funds
|
Directors
who are
“interested
persons”
of
Artisan
Partners Funds
| |||||||||
|
Coleen
Downs
Dinneen
|
Gail L.
Hanson
|
Bonnie
L.
Howard
|
William
J. Kelly
|
Peter M.
Lebovitz
|
Peter E.
Sundman
|
|
Eric R.
Colson
|
Gregory
K.
Ramirez
|
| |
Developing
World
Fund
|
Over
$100,000
|
Over
$100,000
|
None
|
None
|
Over
$100,000
|
None
|
|
Over
$100,000
|
Over
$100,000
|
| |
Focus
Fund |
$50,001
-
$100,000
|
Over
$100,000
|
None
|
Over
$100,000
|
Over
$100,000
|
None
|
|
Over
$100,000
|
$50,001
-
$100,000
|
| |
Global
Discovery Fund |
None
|
Over
$100,000
|
None
|
None
|
None
|
None
|
|
None
|
$10,001
-
$50,000
|
| |
Global
Equity Fund |
$50,001
-
$100,000
|
Over
$100,000
|
None
|
None
|
$50,001
-
$100,000
|
None
|
|
Over
$100,000
|
$10,001
-
$50,000
|
| |
Global
Opportunities Fund |
Over
$100,000
|
Over
$100,000
|
Over
$100,000
|
None
|
Over
$100,000
|
None
|
|
Over
$100,000
|
$50,001
-
$100,000
|
| |
Global
Value Fund |
None
|
Over
$100,000
|
None
|
$10,001
-
$50,000
|
None
|
None
|
|
Over
$100,000
|
Over
$100,000
|
| |
High
Income Fund |
$50,001
-
$100,000
|
$50,001
-
$100,000
|
None
|
None
|
$50,001
-
$100,000
|
None
|
|
Over
$100,000
|
$10,001
-
$50,000
|
| |
International
Fund |
None
|
Over
$100,000
|
None
|
None
|
Over
$100,000
|
None
|
|
None
|
None
|
| |
International
Small-Mid
Fund
|
Over
$100,000
|
Over
$100,000
|
Over
$100,000
|
None
|
$50,001
-
$100,000
|
None
|
|
Over
$100,000
|
$50,001
-
$100,000
|
| |
International
Value
Fund
|
None
|
$50,001
-
$100,000
|
None
|
$10,001
-
$50,000
|
Over
$100,000
|
None
|
|
$10,001-
$50,000
|
$10,001
-
$50,000
|
| |
Mid
Cap Fund |
None
|
Over
$100,000
|
None
|
None
|
None
|
None
|
|
None
|
None
|
| |
Mid
Cap Value Fund |
Over
$100,000
|
Over
$100,000
|
None
|
None
|
None
|
None
|
|
$50,001
-
$100,000
|
None
|
|
Fund
|
Directors who
are not interested persons of Artisan Partners Funds
|
Directors
who
are
“interested
persons”
of
Artisan
Partners Funds
| |||||||||
|
Coleen
Downs
Dinneen
|
Gail
L.
Hanson
|
Bonnie
L.
Howard
|
William
J. Kelly
|
Peter
M.
Lebovitz
|
Peter
E.
Sundman
|
|
Eric
R.
Colson
|
Gregory
K.
Ramirez
|
| |
Select
Equity Fund |
None
|
None
|
None
|
None
|
None
|
None
|
|
None
|
$1 -
$10,000
|
| |
Small
Cap Fund |
Over
$100,000
|
Over
$100,000
|
None
|
$10,001
-
$50,000
|
None
|
None
|
|
None
|
None
|
| |
Sustainable
Emerging
Markets
Fund |
$50,001
-
$100,000
|
Over
$100,000
|
Over
$100,000
|
$10,001
-
$50,000
|
None
|
None
|
|
Over
$100,000
|
$10,001
-
$50,000
|
| |
Value
Fund |
None
|
Over
$100,000
|
None
|
None
|
$10,001
-
$50,000
|
None
|
|
Over
$100,000
|
$10,001
-
$50,000
|
| |
Aggregate
Artisan
Partners
Funds Complex |
Over
$100,000
|
Over
$100,000
|
Over
$100,000
|
Over
$100,000
|
Over
$100,000
|
None
|
|
Over
$100,000
|
Over
$100,000
|
|
Fund
|
Manager
or Co-Managers |
Role
|
Artisan
Developing World Fund |
Lewis
S. Kaufman, CFA |
Portfolio
Manager |
Artisan
Focus Fund |
Christopher
P. Smith |
Portfolio
Manager |
Artisan
Global Discovery Fund |
Jason
L. White, CFA
James
D. Hamel, CFA
Craigh
A. Cepukenas, CFA
Matthew
H. Kamm, CFA |
Lead
Portfolio Manager
Portfolio
Manager
Portfolio
Manager
Portfolio
Manager |
Artisan
Global Equity Fund |
Mark
L. Yockey, CFA
Charles-Henri
Hamker
Andrew
J. Euretig |
Portfolio
Manager
Portfolio
Manager
Portfolio
Manager |
Artisan
Global Opportunities Fund |
James
D. Hamel, CFA
Craigh
A. Cepukenas, CFA
Matthew
H. Kamm, CFA
Jason
L. White, CFA |
Lead
Portfolio Manager
Portfolio
Manager
Portfolio
Manager
Portfolio
Manager |
Artisan
Global Value Fund |
Daniel
J. O’Keefe
Michael
J. McKinnon, CFA |
Lead
Portfolio Manager
Co-Portfolio
Manager |
Artisan
High Income Fund |
Bryan
C. Krug, CFA |
Portfolio
Manager |
Artisan
International Fund |
Mark
L. Yockey, CFA
Charles-Henri
Hamker
Andrew
J. Euretig |
Portfolio
Manager
Associate
Portfolio Manager
Associate
Portfolio Manager |
Artisan
International Small-Mid Fund |
Rezo
Kanovich |
Portfolio
Manager |
Artisan
International Value Fund |
N.
David Samra
Ian
P. McGonigle, CFA
Joseph
Vari |
Lead
Portfolio Manager
Co-Portfolio
Manager
Co-Portfolio
Manager |
Artisan
Mid Cap Fund |
Matthew
H. Kamm, CFA
Craigh
A. Cepukenas, CFA
James
D. Hamel, CFA
Jason
L. White, CFA |
Lead
Portfolio Manager
Portfolio
Manager
Portfolio
Manager
Portfolio
Manager |
Artisan
Mid Cap Value Fund |
Thomas
A. Reynolds IV
Daniel
L. Kane, CFA
Craig
Inman, CFA |
Portfolio
Manager
Portfolio
Manager
Portfolio
Manager |
Artisan
Select Equity Fund |
Daniel
J. O’Keefe
Michael
J. McKinnon, CFA |
Lead
Portfolio Manager
Co-Portfolio
Manager |
Artisan
Small Cap Fund |
Craigh
A. Cepukenas, CFA
James
D. Hamel, CFA
Matthew
H. Kamm, CFA
Jason
L. White, CFA |
Lead
Portfolio Manager
Portfolio
Manager
Portfolio
Manager
Portfolio
Manager |
Artisan
Sustainable Emerging Markets Fund |
Maria
Negrete-Gruson, CFA |
Portfolio
Manager |
Artisan
Value Fund |
Thomas
A. Reynolds IV
Daniel
L. Kane, CFA
Craig
Inman, CFA |
Portfolio
Manager
Portfolio
Manager
Portfolio
Manager |
Number
of Other Accounts Managed and Assets by Account Type as of 30 September
2020
| |||
Portfolio
Manager |
Registered
Investment Companies
(other
than the Funds) |
Other
Pooled Investment Vehicles |
Other
Accounts |
Craigh
A. Cepukenas |
Accounts:
1 |
Accounts:
19 |
Accounts:
75 |
Assets:
$1.52B |
Assets:
$12.52B |
Assets:
$17.56B | |
Andrew
J. Euretig |
Accounts:
2 |
Accounts:
7 |
Accounts:
30 |
Assets:
$1.15B |
Assets:
$2.98B |
Assets:
$8.95B |
Number
of Other Accounts Managed and Assets by Account Type as of 30 September
2020 | |||
Portfolio
Manager |
Registered
Investment Companies
(other
than the Funds) |
Other
Pooled Investment Vehicles |
Other
Accounts |
James
D. Hamel |
Accounts:
1 |
Accounts:
19 |
Accounts:
75 |
Assets:
$1.52B |
Assets:
$12.52B |
Assets:
$17.56B | |
Charles-Henri
Hamker |
Accounts:
2 |
Accounts:
7 |
Accounts:
30 |
Assets:
$1.15B |
Assets:
$2.98B |
Assets:
$8.95B | |
Craig
Inman |
Accounts:
2 |
Accounts:
2 |
Accounts:
4 |
Assets:
$3.54B |
Assets:
$3.21M |
Assets:
$665.44M | |
Matthew
H. Kamm |
Accounts:
1 |
Accounts:
19 |
Accounts:
75 |
Assets:
$1.52B |
Assets:
$12.52B |
Assets:
$17.56B | |
Daniel
L. Kane |
Accounts:
2 |
Accounts:
2 |
Accounts:
4 |
Assets:
$3.54B |
Assets:
$3.21M |
Assets:
$665.44M | |
Rezo
Kanovich |
Accounts:
1 |
Accounts:
1 |
Accounts:
2 |
Assets:
$788.83M |
Assets:
$20.43M |
Assets:
$928.79M | |
Lewis
S. Kaufman |
Accounts:
0 |
Accounts:
2 |
Accounts:
0 |
Assets:
$0 |
Assets:
$269.48M |
Assets:
$0 | |
Bryan
C. Krug |
Accounts:
0 |
Accounts:
1 |
Accounts:
1 |
Assets:
$0 |
Assets:
$86.02M |
Assets:
$148.07M | |
Ian
P. McGonigle |
Accounts:
1 |
Accounts:
6 |
Accounts:
19 |
Assets:
$128.18M |
Assets:
$1.76B |
Assets:
$4.48B | |
Michael
J. McKinnon |
Accounts:
0 |
Accounts:
16 |
Accounts:
26 |
Assets:
$0 |
Assets:
$11.95B |
Assets:
$4.40B | |
Maria
Negrete-Gruson |
Accounts:
0 |
Accounts:
2 |
Accounts:
3 |
Assets:
$0 |
Assets:
$47.41M |
Assets:
$436.56M | |
Daniel
J. O’Keefe |
Accounts:
0 |
Accounts:
16 |
Accounts:
26 |
Assets:
$0 |
Assets:
$11.95B |
Assets:
$4.40B | |
Thomas
A. Reynolds IV |
Accounts:
2 |
Accounts:
2 |
Accounts:
4 |
Assets:
$3.54B |
Assets:
$3.21M |
Assets:
$665.44M | |
N.
David Samra |
Accounts:
1 |
Accounts:
6 |
Accounts:
19 |
Assets:
$128.18M |
Assets:
$1.76B |
Assets:
$4.48B | |
Christopher
P. Smith |
Accounts:
1 |
Accounts:
8 |
Accounts:
3 |
Assets:
$16.77M |
Assets:
$1.42B |
Assets:
$72.04M | |
Joseph
Vari |
Accounts:
1 |
Accounts:
6 |
Accounts:
19 |
Assets:
$128.18M |
Assets:
$1.76B |
Assets:
$4.48B | |
Jason
L. White |
Accounts:
1 |
Accounts:
19 |
Accounts:
75 |
Assets:
$1.52B |
Assets:
$12.52B |
Assets:
$17.56B | |
Mark
L. Yockey |
Accounts:
2 |
Accounts:
7 |
Accounts:
30 |
Assets:
$1.15B |
Assets:
$2.98B |
Assets:
$8.95B |
Number
of Accounts and Total Assets For Which a Performance-based Fee is
Received
| |||
Portfolio
Manager(s) |
Registered
Investment Companies
(other
than the Funds) |
Other
Pooled Investment Vehicles |
Other
Accounts |
Craigh
A. Cepukenas
James
D. Hamel
Matthew
H. Kamm
Jason
L. White |
Accounts:
0 |
Accounts:
1 |
Accounts:
3 |
Assets:
$0 |
Assets:
$221.67M |
Assets:
$841.27M | |
Andrew
J. Euretig
Charles-Henri
Hamker
Mark
L. Yockey |
Accounts:
0 |
Accounts:
0 |
Accounts:
2 |
Assets:
$0 |
Assets:
$0 |
Assets:
$1.01B |
Number
of Accounts and Total Assets For Which a Performance-based Fee is
Received | |||
Portfolio
Manager(s) |
Registered
Investment Companies
(other
than the Funds) |
Other
Pooled Investment Vehicles |
Other
Accounts |
Bryan
C. Krug |
Accounts:
0 |
Accounts:
1 |
Accounts:
0 |
Assets:
$0 |
Assets:
$86.02M |
Assets:
$0 | |
Daniel
J. O’Keefe
Michael
J. McKinnon |
Accounts:
0 |
Accounts:
1 |
Accounts:
1 |
Assets:
$0 |
Assets:
$66.65M |
Assets:
$391.96M | |
Christopher
P. Smith |
Accounts:
0 |
Accounts:
2 |
Accounts:
0 |
Assets:
$0 |
Assets:
$852.90M |
Assets:
$0 | |
Craig
Inman
Daniel
L. Kane
Thomas
A. Reynolds IV |
Accounts:
0 |
Accounts:
0 |
Accounts:
1 |
Assets:
$0 |
Assets:
$0 |
Assets:
$459.98M |
Portfolio
Manager |
Fund
|
Ownership
|
Craigh
A. Cepukenas |
Global
Discovery Fund
Global
Opportunities Fund
Mid
Cap Fund
Small
Cap Fund |
Over
$1,000,000
Over
$1,000,000
Over
$1,000,000
Over
$1,000,000 |
Andrew
J. Euretig |
Global
Equity Fund
International
Fund |
$100,001
- $500,000
$100,001
- $500,000 |
James
D. Hamel |
Global
Discovery Fund
Global
Opportunities Fund
Mid
Cap Fund
Small
Cap Fund |
Over
$1,000,000
Over
$1,000,000
Over
$1,000,000
Over
$1,000,000 |
Charles-Henri
Hamker |
Global
Equity Fund
International
Fund |
$500,001
- $1,000,000
$10,001
- $50,000 |
Craig
Inman |
Mid
Cap Value Fund
Value
Fund |
$500,001
- $1,000,000
$500,001
- $1,000,000 |
Matthew
H. Kamm |
Global
Discovery Fund
Global
Opportunities Fund
Mid
Cap Fund
Small
Cap Fund |
Over
$1,000,000
Over
$1,000,000
Over
$1,000,000
Over
$1,000,000 |
Daniel
L. Kane |
Mid
Cap Value Fund
Value
Fund |
Over
$1,000,000
$500,001-
$1,000,000 |
Rezo
Kanovich |
International
Small-Mid Fund |
Over
$1,000,000 |
Lewis
S. Kaufman |
Developing
World Fund |
Over
$1,000,000 |
Bryan
C. Krug |
High
Income Fund |
Over
$1,000,000 |
Ian
P. McGonigle |
International
Value Fund |
Over
$1,000,000 |
Michael
J. McKinnon |
Global
Value Fund
Select
Equity Fund |
$100,001
- $500,000
None
|
Maria
Negrete-Gruson |
Sustainable
Emerging Markets Fund |
$100,001
- $500,000 |
Daniel
J. O’Keefe |
Global
Value Fund
Select
Equity Fund |
Over
$1,000,000
Over
$1,000,000 |
Portfolio
Manager |
Fund
|
Ownership
|
Thomas
A. Reynolds IV |
Mid
Cap Value Fund
Value
Fund |
$100,001
- $500,000
$500,001
- $1,000,000 |
N.
David Samra |
International
Value Fund |
Over
$1,000,000 |
Christopher
P. Smith |
Focus
Fund |
Over
$1,000,000 |
Joseph
Vari |
International
Value Fund |
$100,001-
$500,000 |
Jason
L. White |
Global
Discovery Fund
Global
Opportunities Fund
Mid
Cap Fund
Small
Cap Fund |
Over
$1,000,000
Over
$1,000,000
$100,001
- $500,000
$50,001
- $100,000 |
Mark
L. Yockey |
Global
Equity Fund
International
Fund |
Over
$1,000,000
Over
$1,000,000 |
Name
and Address |
Fund
|
Percentage
of
Outstanding
Investor
Shares Held (%)
|
Percentage
of
Outstanding
Advisor
Shares Held (%)
|
Percentage
of
Outstanding
Institutional
Shares Held (%)
|
Charles
Schwab & Co. Inc.(1)
211
Main Street
San
Francisco, CA 94105-1905 |
Developing
World Fund |
36.25 |
17.24 |
13.08 |
Focus
Fund |
32.32 |
25.79 |
-- | |
Global
Discovery Fund |
55.29 |
5.98 |
22.27 | |
Global
Equity Fund |
37.62 |
-- |
59.40 | |
Global
Opportunities Fund |
28.29 |
25.61 |
6.27 | |
Global
Value Fund |
28.90 |
30.00 |
8.41 | |
High
Income Fund |
12.28 |
23.57 |
-- | |
International
Fund |
28.58 |
18.92 |
10.52 | |
International
Small-Mid Fund |
32.05 |
34.33 |
30.97 | |
International
Value Fund |
17.12 |
28.36 |
6.75 | |
Mid
Cap Fund |
20.31 |
18.69 |
8.24 | |
Mid
Cap Value Fund |
20.48 |
6.57 |
-- | |
Select
Equity Fund |
57.40 |
66.70 |
-- | |
Small
Cap Fund |
15.75 |
-- |
-- | |
Sustainable
Emerging Markets Fund |
69.22 |
N/A |
9.79 | |
Value
Fund |
29.81 |
11.18 |
12.19 | |
National
Financial Services
Corp.(1)
One
World Financial Center
499
Washington Boulevard
Jersey
City, NJ 07310-2010 |
Developing
World Fund |
34.34 |
14.24 |
-- |
Focus
Fund |
14.23 |
36.78 |
-- | |
Global
Discovery Fund |
16.50 |
80.95 |
-- | |
Global
Equity Fund |
26.52 |
-- |
-- | |
Global
Opportunities Fund |
29.07 |
26.72 |
-- | |
Global
Value Fund |
25.95 |
16.65 |
15.95 | |
High
Income Fund |
69.86 |
11.65 |
27.70 | |
International
Fund |
25.37 |
34.76 |
14.28 | |
International
Small-Mid Fund |
13.17 |
27.30 |
12.37 | |
International
Value Fund |
57.77 |
14.44 |
13.62 | |
Mid
Cap Fund |
32.10 |
18.12 |
27.73 | |
Mid
Cap Value Fund |
23.77 |
-- |
-- | |
Small
Cap Fund |
55.58 |
6.99 |
28.71 | |
Sustainable
Emerging Markets Fund |
20.58 |
N/A |
-- | |
Value
Fund |
29.51 |
30.38 |
16.22 |
Name
and Address |
Fund
|
Percentage
of
Outstanding
Investor
Shares Held (%)
|
Percentage
of
Outstanding
Advisor
Shares Held (%)
|
Percentage
of
Outstanding
Institutional
Shares Held (%)
|
Pershing
LLC(1)
1
Pershing Plaza
Jersey
City, NJ 07399-001 |
Developing
World Fund |
-- |
19.22 |
-- |
Focus
Fund |
-- |
15.34 |
21.15 | |
Global
Equity Fund |
5.14 |
-- |
-- | |
Global
Opportunities Fund |
-- |
8.82 |
-- | |
Global
Value Fund |
-- |
7.15 |
-- | |
High
Income Fund |
-- |
30.25 |
-- | |
International
Fund |
-- |
6.09 |
-- | |
International
Small-Mid Fund |
5.98 |
-- |
-- | |
International
Value Fund |
-- |
25.12 |
-- | |
Value
Fund |
-- |
11.23 |
-- | |
TD
Ameritrade(1)
P.O.
Box 2226
Omaha,
NE 68103-2226 |
Developing
World Fund |
15.65 |
-- |
-- |
Focus
Fund |
39.57 |
7.15 |
-- | |
Global
Discovery Fund |
17.65 |
-- |
11.53 | |
Global
Equity Fund |
9.53 |
13.46 |
-- | |
Global
Opportunities Fund |
16.70 |
-- |
-- | |
Global
Value Fund |
8.51 |
-- |
-- | |
High
Income Fund |
12.40 |
-- |
9.16 | |
International
Small-Mid Fund |
27.84 |
-- |
5.78 | |
Mid
Cap Value Fund |
-- |
30.92 |
-- | |
Select
Equity Fund |
5.29 |
-- |
-- | |
Sustainable
Emerging Markets Fund |
-- |
N/A |
41.89 | |
Value
Fund |
6.66 |
14.27 |
-- | |
Merrill
Lynch Pierce Fenner &
Smith(1)
4800
Deer Lake Drive E.
Jacksonville,
FL 32246-6484 |
Developing
World Fund |
-- |
6.01 |
-- |
Global
Opportunities Fund |
-- |
6.54 |
-- | |
High
Income Fund |
-- |
6.32 |
-- | |
International
Fund |
-- |
6.03 |
8.36 | |
International
Small-Mid Fund |
-- |
8.16 |
-- | |
Mid
Cap Fund |
13.51 |
-- |
-- | |
Mid
Cap Value Fund |
19.69 |
-- |
-- | |
LPL
Financial(1)
4707
Executive Drive
San
Diego, CA 92121-3091 |
Global
Opportunities Fund |
-- |
6.70 |
-- |
Global
Value Fund |
-- |
9.04 |
-- | |
International
Small-Mid Fund |
-- |
6.77 |
-- | |
International
Value Fund |
-- |
5.68 |
-- | |
Mid
Cap Fund |
-- |
25.13 |
-- | |
Value
Fund |
-- |
5.11 |
-- | |
Morgan
Stanley Smith
Barney(1)
Harborside
Financial Center
Plaza
2, 3rd Floor
Jersey
City, NJ 07311 |
Developing
World Fund |
-- |
25.04 |
-- |
International
Fund |
-- |
9.23 |
-- | |
International
Small-Mid Fund |
-- |
8.86 |
-- | |
International
Value Fund |
-- |
5.52 |
-- | |
Mid
Cap Fund |
-- |
17.74 |
-- | |
Mid
Cap Value Fund |
-- |
37.80 |
-- | |
Wells
Fargo Clearing Services
LLC(1)
2801
Market Street
St.
Louis, MO 63103-2523 |
International
Fund |
-- |
6.08 |
-- |
Small
Cap Fund |
-- |
63.00 |
-- |
Name
and Address |
Fund
|
Percentage
of
Outstanding
Investor
Shares Held (%)
|
Percentage
of
Outstanding
Advisor
Shares Held (%)
|
Percentage
of
Outstanding
Institutional
Shares Held (%)
|
Edward
D. Jones & Co. Inc.(1)
12555
Manchester Road
St.
Louis, MO 63131-3729 |
International
Small-Mid Fund |
-- |
-- |
17.16 |
International
Value Fund |
-- |
-- |
12.68 | |
Mid
Cap Value Fund |
-- |
-- |
51.72 | |
Value
Fund |
-- |
-- |
15.82 | |
JP
Morgan Securities LLC(1)
3
Chase Metrotech Center
Brooklyn,
NY 11245-0001 |
Global
Equity Fund |
5.65 |
-- |
-- |
International
Fund |
-- |
-- |
10.31 | |
Select
Equity Fund |
-- |
-- |
88.77 | |
Sustainable
Emerging Markets Fund |
-- |
-- |
26.74 | |
American
Enterprise
Investments(1)
702
2nd
Avenue South
Minneapolis,
MN, 55402-2405 |
Global
Opportunities Fund |
6.26 |
-- |
-- |
International
Small-Mid Fund |
6.37 |
-- |
-- | |
Raymond
James(1)
880
Carillon Place
St.
Petersburg, FL 33716-1102 |
Global
Opportunities Fund |
-- |
5.00 |
-- |
Small
Cap Fund |
-- |
9.55 |
-- | |
Value
Fund |
-- |
5.83 |
-- | |
RBC
Capital Markets(1)
510
Marquette South
Minneapolis,
MN 55402-1110 |
Global
Equity Fund |
-- |
83.50 |
-- |
International
Value Fund |
-- |
6.35 |
-- | |
Value
Fund |
-- |
16.20 |
-- | |
UBS(1)
1000
Harbor Boulevard, Floor 5
Weehawken,
NJ 07086-6761 |
Global
Equity Fund |
5.32 |
-- |
-- |
Global
Value Fund |
-- |
14.77 |
-- | |
Acuity
A Mutual Insurance
Company
2800
South Taylor Road
Sheboygan,
WI 53081-8474 |
Mid
Cap Fund |
-- |
-- |
5.50 |
Mid
Cap Value Fund |
-- |
-- |
28.36 | |
SEI
Trust Company(1)
c/o
BMO Harris Bank
One
Freedom Valley Drive
Oaks,
PA 19456-9989 |
Developing
World Fund |
-- |
-- |
22.85 |
High
Income Fund |
-- |
-- |
11.10 | |
Wells
Fargo Bank NA(1)
P.O.
Box 1533
Minneapolis,
MN 55480-1533 |
Mid
Cap Fund |
-- |
-- |
11.58 |
Small
Cap Fund |
-- |
-- |
11.94 | |
SEI
Private Trust Company(1)
c/o
Regions Bank
One
Freedom Valley Drive
Oaks,
PA 19456-9989 |
Developing
World Fund |
-- |
-- |
5.62 |
Global
Equity Fund |
-- |
-- |
6.27 | |
SEI
Private Trust Company
c/o
Carl Page Foundation
One
Freedom Valley Drive
Oaks,
PA 19456-9989 |
Developing
World Fund |
-- |
-- |
7.90 |
SEI
Private Trust Company(1)
c/o
Choate, Hall & Stewart
One
Freedom Valley Drive
Oaks,
PA 19456-9989 |
Focus
Fund |
-- |
-- |
77.56 |
Maril
& Co.(1)
c/o
Reliance Trust Company WI
4900
West Brown Deer Road
Milwaukee,
WI 53223-2422 |
Focus
Fund |
-- |
7.92 |
-- |
Stifel
Nicolaus & Co., Inc.(1)
501
North Broadway
St.
Louis, MO 63102-2188 |
Global
Discovery Fund |
-- |
6.67 |
-- |
HOCO(1)
922
Walnut Street
Kansas
City, MO 64106-7802 |
Global
Discovery Fund |
-- |
-- |
20.34 |
Name
and Address |
Fund
|
Percentage
of
Outstanding
Investor
Shares Held (%)
|
Percentage
of
Outstanding
Advisor
Shares Held (%)
|
Percentage
of
Outstanding
Institutional
Shares Held (%)
|
Northern
Trust Company
FBO
Lubar Public Equity Fund
LLC
P.O.
Box 92956
Chicago,
IL 60675-2956 |
Global
Discovery Fund |
-- |
-- |
11.37 |
The
Dionis Trust
P.O.
Box 449
Princeton,
NJ 08542-0449 |
Global
Discovery Fund |
-- |
-- |
7.61 |
Mulligans
Holdings, LP
330
South Street, Suite 4
Morristown,
NJ 07960-7391 |
Global
Discovery Fund |
-- |
-- |
6.87 |
Canal
Road LLC
P.O.
Box 449
Princeton,
NJ 08542-0449 |
Global
Discovery Fund |
-- |
-- |
5.24 |
Mitra
& Co.(1)
c/o
Reliance Trust Company WI
4900
West Brown Deer Road
Milwaukee,
WI 53223-2422 |
Global
Equity Fund |
-- |
-- |
6.27 |
Northern
Trust Company
FBO
Henry Ford Health System
Public
Equity
P.O.
Box 92956
Chicago,
IL 60675-2956 |
Global
Opportunities Fund |
-- |
-- |
6.39 |
Northern
Trust Company
FBO
Ohana Holdings LLC
P.O.
Box 92956
Chicago,
IL 60675-2956 |
Global
Value Fund |
-- |
-- |
13.52 |
Northern
Trust Company
FBO
Rady’s Children’s Hospital
50
LaSalle Street
Chicago,
IL 60603-1003 |
Global
Value Fund |
-- |
-- |
5.79 |
Capinco(1)
c/o
US Bank NA
P.O.
Box 1787
Milwaukee,
WI 53201-1787 |
Global
Value Fund |
-- |
-- |
5.33 |
Muir
& Co.(1)
c/o
Frost Bank Trust
P.O.
Box 2950
San
Antonio, TX 78299-2950 |
High
Income Fund |
-- |
-- |
6.86 |
Goldman
Sachs & Co.(1)
295
Chipeta Way
Salt
Lake City, UT 84108-1285 |
International
Fund |
8.38 |
-- |
-- |
Saxon
& Co.(1)
P.O.
Box 7780-1888
Philadelphia,
PA 19182-0001 |
International
Fund |
-- |
5.26 |
-- |
SEI
Trust Company(1)
c/o
Ropes Wealth Advisors, LLC
One
Freedom Valley Drive
Oaks,
PA 19456-9989 |
International
Small-Mid Fund |
-- |
-- |
5.43 |
Artisan
Partners Limited
Partnership
875
East Wisconsin Avenue,
Suite
800
Milwaukee,
WI 53202 |
Select
Equity Fund |
-- |
31.81 |
8.95 |
UMB
Bank NA
FBO
William P. Schreiter
697
Cheviot Drive
Pewaukee,
WI 53072-1956 |
Select
Equity Fund |
14.29 |
-- |
-- |
Name
and Address |
Fund
|
Percentage
of
Outstanding
Investor
Shares Held (%)
|
Percentage
of
Outstanding
Advisor
Shares Held (%)
|
Percentage
of
Outstanding
Institutional
Shares Held (%)
|
Kenneth
E. Kulig
W21674
N River Road
Whitehall,
WI 54773-9146 |
Select
Equity Fund |
13.62 |
-- |
-- |
Dengel
& Co(1)
P.O.
Box 3199
Church
Street Station
New
York, NY 10008-3199 |
Small
Cap Fund |
-- |
-- |
10.51 |
SEI
Trust Company(1)
c/o
M&T Bank
One
Freedom Valley Drive
Oaks,
PA 19456-9989 |
Small
Cap Fund |
-- |
-- |
5.66 |
Maria
Negrete-Gruson
c/o
Artisan Partners Limited
Partnership
875
East Wisconsin Avenue,
Suite
800
Milwaukee,
WI 53202 |
Sustainable
Emerging Markets Fund |
-- |
-- |
5.10 |
E*Trade
Savings Bank(1)
P.O.
Box 6503
Englewood,
CO 80155-6503 |
Value
Fund |
-- |
-- |
10.18 |
Texas
College Savings Plan
401(k)
17605
Wright Street, Suite 3
Omaha,
NE 68130-2033 |
Value
Fund |
-- |
-- |
8.17 |
Brown
Brothers Harriman &
Co(1)
FBO
Butterfield Private Bank
185
Hudson Street, Suite 1150
Jersey
City, NJ 07311-1213 |
Value
Fund |
-- |
-- |
6.54 |
Fund(s)
|
Annual Rate of
Fee |
Asset
Base |
Developing
World Fund |
1.050%
|
up
to $1 billion |
1.025%
|
$1
billion up to $2 billion | |
1.000%
|
$2
billion up to $3.5 billion | |
0.975%
|
$3.5
billion up to $5 billion | |
0.950%
|
over
$5 billion | |
Focus
Fund
Sustainable
Emerging Markets Fund |
1.000%
|
up
to $1 billion |
0.975%
|
$1
billion up to $2 billion | |
0.950%
|
$2
billion up to $3.5 billion | |
0.925%
|
$3.5
billion up to $5 billion | |
0.900%
|
over
$5 billion | |
Global
Discovery Fund |
0.975%
|
up
to $1 billion |
0.950%
|
$1
billion up to $2 billion | |
0.925%
|
$2
billion up to $3.5 billion | |
0.900%
|
$3.5
billion up to $5 billion | |
0.875%
|
over
$5 billion | |
Global
Equity Fund |
0.900%
|
up
to $1 billion |
0.875%
|
$1
billion up to $2 billion | |
0.850%
|
$2
billion up to $3.5 billion | |
0.825%
|
$3.5
billion up to $5 billion | |
0.800%
|
over
$5 billion | |
Global
Opportunities Fund |
0.900%
|
up
to $1 billion |
0.875%
|
$1
billion up to $4 billion | |
0.850%
|
$4
billion up to $8 billion | |
0.825%
|
$8
billion up to $12 billion | |
0.800%
|
over
$12 billion | |
Global
Value Fund |
1.000%
|
up
to $1 billion |
0.975%
|
$1
billion up to $4 billion | |
0.950%
|
$4
billion up to $8 billion | |
0.925%
|
$8
billion up to $12 billion | |
0.900%
|
over
$12 billion | |
High
Income Fund |
0.725%
|
up
to $1 billion |
0.700%
|
$1
billion up to $2 billion | |
0.675%
|
$2
billion up to $3.5 billion | |
0.650%
|
$3.5
billion up to $10 billion | |
0.625%
|
over
$10 billion |
Fund(s)
|
Annual Rate of
Fee |
Asset
Base |
International
Fund |
1.000%
|
up
to $500 million |
0.975%
|
$500
million up to $750 million | |
0.950%
|
$750
million up to $1 billion | |
0.925%
|
$1
billion up to $12 billion | |
0.900%
|
over
$12 billion | |
International
Small-Mid Fund |
1.050%
|
up
to $2 billion |
1.025%
|
$2
billion up to $3 billion | |
1.000%
|
$3
billion up to $4 billion | |
0.975%
|
$4
billion up to $5 billion | |
0.950%
|
over
$5 billion | |
International
Value Fund
Mid
Cap Fund
Mid
Cap Value Fund
Small
Cap Fund |
1.000%
|
up
to $500 million |
0.975%
|
$500
million up to $750 million | |
0.950%
|
$750
million up to $1 billion | |
0.925%
|
over
$1 billion | |
Select
Equity Fund |
0.750%
|
up
to $1 billion |
0.725%
|
$1
billion up to $2 billion | |
0.700%
|
$2
billion up to $3.5 billion | |
0.675%
|
$3.5
billion up to $5 billion | |
0.650%
|
over
$5 billion | |
Value
Fund |
0.800%
|
up
to $50 million |
0.760%
|
$50
million up to $100 million | |
0.720%
|
$100
million up to $500 million | |
0.680%
|
$500
million up to $7.5 billion | |
0.640%
|
over
$7.5 billion |
Fund
|
Expense Limit
as a % of
Average Daily
Net Assets |
Global
Discovery Fund – Investor Shares1
|
1.40%
|
Global
Discovery Fund – Advisor Shares1
|
1.30%
|
Global
Discovery Fund – Institutional Shares1
|
1.25%
|
Global
Equity Fund – Investor Shares2
|
1.35%
|
Global
Equity Fund – Advisor Shares3
|
1.25%
|
Select
Equity Fund – Investor Shares4
|
1.25%
|
Select
Equity Fund – Advisor Shares4
|
1.15%
|
Select
Equity Fund – Institutional Shares4
|
1.10%
|
Sustainable
Emerging Markets Fund – Investor Shares |
1.35%
|
Sustainable
Emerging Markets Fund – Institutional Shares |
1.20%
|
Value
Fund – Advisor Shares |
0.88% |
Fund
|
Fiscal Year
Ended
30 September
2020 |
Fiscal Year
Ended
30 September
2019 |
Fiscal Year
Ended
30 September
2018 | |||
Paid to
Artisan
Partners
|
Waived
by
Artisan
Partners
|
Paid to
Artisan
Partners
|
Waived
by
Artisan
Partners
|
Paid to
Artisan
Partners
|
Waived
by
Artisan
Partners
| |
Developing
World Fund |
$
41,354,531 |
$
- |
$
23,712,770 |
$
- |
$
23,467,203 |
$
- |
Focus
Fund |
10,263,447 |
- |
3,916,006 |
- |
464,212 |
108,036 |
Global
Discovery Fund |
1,439,745 |
29,628 |
834,406 |
- |
359,215 |
76,981 |
Global
Equity Fund |
2,150,479 |
7,855 |
2,550,239 |
- |
3,235,906 |
- |
Global
Opportunities Fund |
33,584,056 |
- |
27,982,041 |
- |
27,189,631 |
- |
Global
Value Fund |
25,043,650 |
- |
31,725,117 |
- |
34,850,089 |
- |
High
Income Fund |
27,408,103 |
- |
23,534,067 |
- |
19,269,601 |
- |
International
Fund |
92,053,022 |
- |
101,696,522 |
- |
128,232,885 |
- |
International
Small-Mid Fund |
21,814,351 |
- |
7,763,412 |
- |
5,954,088 |
- |
International
Value Fund |
126,156,995 |
- |
129,146,465 |
- |
143,160,386 |
- |
Mid
Cap Fund |
51,356,264 |
- |
48,440,110 |
- |
60,793,542 |
- |
Mid
Cap Value Fund |
18,088,901 |
- |
24,374,255 |
- |
34,672,035 |
- |
Select
Equity Fund1
|
52,834 |
195,913 |
- |
- |
- |
- |
Small
Cap Fund |
21,193,699 |
- |
16,546,744 |
- |
14,541,144 |
- |
Sustainable
Emerging Markets Fund |
516,522 |
240,625 |
543,625 |
356,828 |
576,422 |
241,816 |
Value
Fund |
2,731,627 |
42,915 |
3,073,291 |
50,236 |
4,136,866 |
13,812 |
Fund
|
Fiscal Year
Ended
30 September
2020 |
Fiscal Year
Ended
30 September
2019 |
Fiscal Year
Ended
30 September
2018 |
Developing
World Fund |
$
7,226,888 |
$
6,292,973 |
$
6,027,099 |
Focus
Fund |
4,708,378 |
2,266,825 |
304,155 |
Global
Discovery Fund |
86,011 |
53,968 |
36,537 |
Global
Equity Fund |
351,495 |
364,348 |
547,083 |
Global
Opportunities Fund |
1,605,535 |
1,565,702 |
1,983,228 |
Global
Value Fund |
1,006,859 |
923,401 |
1,236,810 |
High
Income Fund |
67,488 |
43,790 |
- |
International
Fund |
9,715,770 |
9,493,612 |
15,392,135 |
International
Small-Mid Fund |
2,150,011 |
1,108,253 |
673,863 |
International
Value Fund |
6,340,637 |
4,929,270 |
5,029,397 |
Mid
Cap Fund |
1,361,614 |
1,730,119 |
2,901,269 |
Mid
Cap Value Fund |
1,137,822 |
965,060 |
1,314,238 |
Select
Equity Fund |
14,432 |
- |
- |
Small
Cap Fund |
753,862 |
751,728 |
598,668 |
Sustainable
Emerging Markets Fund |
42,555 |
45,115 |
67,690 |
Value
Fund |
174,872 |
126,081 |
264,360 |
|
Fiscal Year
Ended 30 September 2020 | |
Fund
|
Total
Commissions
Paid to
Broker-Dealers
that Provided
Brokerage
and Research
Services |
Related
Aggregate Share
Price
Paid/Received |
Developing
World Fund |
$
3,985,416 |
$
5,277,128,614 |
Focus
Fund |
1,428,656 |
3,213,531,248 |
Global
Discovery Fund |
45,664 |
38,904,359 |
Global
Equity Fund |
216,660 |
259,321,379 |
Global
Opportunities Fund |
1,034,742 |
1,028,650,768 |
Global
Value Fund |
276,102 |
253,921,712 |
High
Income Fund1
|
N/A |
N/A |
International
Fund |
5,895,852 |
5,054,497,779 |
International
Small-Mid Fund |
1,171,738 |
829,458,225 |
International
Value Fund |
3,526,175 |
2,701,693,711 |
Mid
Cap Fund |
834,188 |
1,284,520,325 |
Mid
Cap Value Fund |
780,684 |
976,818,317 |
Select
Equity Fund2
|
341,818 |
271,906,718 |
Small
Cap Fund |
327 |
638,675 |
Sustainable
Emerging Markets Fund |
31,745 |
16,531,402 |
Value
Fund |
124,363 |
174,143,427 |
Fund
|
Broker
or Dealer |
Aggregate Value
of
Securities
Held
Fiscal Year
Ended
30 September
2020 |
Global
Opportunities Fund |
Bank
of America Corporation |
65,779,600 |
Global
Value Fund |
UBS
Group AG |
64,619,419 |
International
Value Fund |
UBS
Group AG |
513,847,391 |
Value
Fund |
The
Goldman Sachs Group Incorporated |
9,048,272 |
Amount
of Difference |
Action Taken
|
<
½ of 1% of the
originally
computed
NAV
|
The
Fund determines whether it has incurred a loss or a benefit. If the Fund
has either paid
excessive
redemption proceeds or received insufficient subscription proceeds (“fund
loss”), the
party
responsible for the error is expected to reimburse the Fund for the amount
of the loss. If the
Fund
has received a benefit from the error, no action is taken.
|
=
or > ½ of 1% of the originally computed
NAV
|
If
any shareholder has sustained a loss exceeding $10, the Fund or the party
responsible for the
error
is expected to pay the shareholder any additional redemption proceeds owed
and either
refund
excess subscription monies paid or credit the shareholder’s account with
additional shares
as
of the date of the error.
Either
the responsible party or the individual shareholders who experienced a
benefit as a result of
the
error are expected to reimburse the Fund for any fund losses attributable
to them. |