Fund
Name
|
| |
Class
I
|
| |
Class
Y |
| |
Class
L |
| |
Class
C |
|
MassMutual Global Floating Rate Fund | | | BXFIX | | | BXFYX | | | BXFAX | | | BXFCX | |
MassMutual Global Credit Income Opportunities Fund | | | BXITX | | | BXIYX | | | BXIAX | | | BXICX | |
MassMutual Emerging Markets Debt Blended
Total Return Fund |
| | BXEIX | | | BXEYX | | | BXEAX | | | BXECX | |
MassMutual Global Emerging Markets Equity Fund | | | BXQIX | | | BXQYX | | | BXQAX | | | BXQCX | |
| | |
Page |
| |||
| | | | B-3 | | | |
| | | | B-3 | | | |
| | | | B-46 | | | |
| | | | B-48 | | | |
| | | | B-49 | | | |
| | | | B-59 | | | |
| | | | B-63 | | | |
| | | | B-67 | | | |
| | | | B-67 | | | |
| | | | B-68 | | | |
| | | | B-69 | | | |
| | | | B-69 | | | |
| | | | B-69 | | | |
| | | | B-69 | | | |
| | | | B-71 | | | |
| | | | B-72 | | | |
| | | | B-74 | | | |
| | | | B-75 | | | |
| | | | B-76 | | | |
| | | | B-77 | | | |
| | | | B-87 | | | |
| | | | B-88 | | | |
| | | | B-92 | | | |
| | | | B-101 | | |
| Allan W. Blair 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1948 Trustee of the Trust since 2021 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Nabil N. El‑Hage 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1958 Trustee of the Trust since 2021 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Maria D. Furman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2021 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| R. Bradford Malt 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1954 Trustee of the Trust since 2022 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| C. Ann Merrifield 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1951 Trustee of the Trust since 2021 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Cynthia R. Plouché 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2022 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Jason J. Price 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1973 Trustee of the Trust since 2022 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Susan B. Sweeney 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1952 Chairperson of the Trust since 2022 Trustee of the Trust since 2021 Trustee of 112 portfolios in fund complex1 |
| | Chairperson and Trustee of the Trust | |
| Michael R. Fanning2
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1963 Trustee of the Trust since 2021 Trustee of 110 portfolios in fund complex |
| | Trustee of the Trust | |
| Clifford M. Noreen3
1295 State Street Springfield, MA 01111‑0001 Year of birth: 1957 Trustee of the Trust since 2021 Trustee of 112 portfolios in fund complex4 |
| | Trustee of the Trust | |
| Andrea Anastasio 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1974 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | Vice President | |
| Andrew M. Goldberg 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1966 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | Vice President, Secretary, and Chief Legal Officer of the Trust | |
| Renee Hitchcock 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1970 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | Chief Financial Officer and Treasurer of the Trust | |
| Paul LaPiana 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1969 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | President of the Trust | |
| Jill Nareau Robert 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1972 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | Vice President and Assistant Secretary of the Trust | |
| Douglas Steele 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1975 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | Vice President of the Trust | |
| Philip S. Wellman 1295 State Street Springfield, MA 01111‑0001 Year of birth: 1964 Officer of the Trust since 2021 Officer of 110 portfolios in fund complex |
| | Vice President and Chief Compliance Officer of the Trust | |
Name
of Trustee |
| |
The Dollar Range of Equity Securities Beneficially Owned in the Trust |
| |
Aggregate Dollar Range of Equity
Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|
Independent Trustees | | | | | | | |
Allan W. Blair |
| |
None
|
| |
over
$100,000 |
|
Nabil N. El-Hage |
| |
None
|
| |
None
|
|
Maria D. Furman |
| |
None
|
| |
None
|
|
R.
Bradford Malt |
| |
None
|
| |
None
|
|
C.
Ann Merrifield |
| |
None
|
| |
None |
|
Cynthia R. Plouché |
| |
None |
| |
None |
|
Jason J. Price |
| |
None |
| |
None |
|
Susan B. Sweeney |
| |
None
|
| |
None
|
|
Interested Trustees | | | | | | | |
Michael R. Fanning |
| |
None |
| |
None |
|
Clifford M. Noreen |
| |
None |
| |
None |
|
Name of Trustee |
| |
Aggregate
Compensation from the Trust |
| |
Total Compensation from the Trust and
Fund Complex Paid to Trustees |
|
Allan W. Blair |
| |
$3,648 |
| |
$285,825 |
|
Nabil N. El-Hage |
| |
$3,747 |
| |
$337,648 |
|
Michael R. Fanning |
| |
$0 |
| |
$0 |
|
Maria D. Furman |
| |
$3,418 |
| |
$267,800 |
|
R.
Alan Hunter, Jr. 1
|
| |
$2,836 |
| |
$224,700 |
|
R.
Bradford Malt 2
|
| |
$1,039 |
| |
$79,930 |
|
C.
Ann Merrifield |
| |
$3,571 |
| |
$279,500 |
|
Clifford M. Noreen |
| |
$0 |
| |
$0 |
|
Cynthia R. Plouché 2
|
| |
$1,039 |
| |
$119,930 |
|
Jason J. Price 2
|
| |
$1,039 |
| |
$119,930 |
|
Susan B. Sweeney |
| |
$4,376 |
| |
$510,787 |
|
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
The Shimon ben Joseph
Foundation
343
Sansome Street, Suite 550
San
Francisco, CA 94104 |
| | | | 73.32% | | |
| | |
U.S. Bank N.A.,
1555
North Rivercenter Drive, Suite 302
Milwaukee, WI 53212 |
| | | | 23.91% | | |
Class Y |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 32.41% | | |
| | |
UBS Financial Services,
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 27.82% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Reliance Trust Company
201
17th Street NW, Suite 1000
Atlanta, GA 30363 |
| | | | 7.54% | | |
| | |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 6.64% | | |
| | |
LPL Financial
4707
Executive Drive
San
Diego, CA 92121 |
| | | | 6.25% | | |
Class L |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 57.33% | | |
| | |
Massachusetts Mutual Life
Insurance Company
1295
State Street
Springfield, MA 01111 |
| | | | 21.21% | | |
| | |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 8.13% | | |
Class C |
| |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 34.36% | | |
| | |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 24.59% | | |
| | |
RBC Capital Markets, LLC
250
Nicollet Mall, Suite 1800
Minneapolis, MN 55401 |
| | | | 19.27% | | |
| | |
UBS Financial Services,
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 15.36% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
U.S. Bank N.A.
1555
North Rivercenter Drive, Suite 302
Milwaukee, WI 53212 |
| | | | 100.00% | | |
Class Y |
| |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 51.29% | | |
| | |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 13.88% | | |
| | |
SEI Private Trust
Company
1
Freedom Valley Drive
Oaks,
PA 19456 |
| | | | 12.39% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 5.77% | | |
Class L |
| |
Charles Schwab & Company,
Inc.
211
Main Street
San
Francisco, CA 94105 |
| | | | 90.64% | | |
| | |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 6.87% | | |
Class C |
| |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 50.00% | | |
| | |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 36.24% | | |
| | |
UBS Financial Services,
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 6.37% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
National Telecommunications
Cooperative Association
4121
Wilson Boulevard, Suite 1000
Arlington, VA 22203 |
| | | | 99.96% | | |
Class Y |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 37.18% | | |
| | |
Reliance Trust Company
201
17th Street NW, Suite 1000
Atlanta, GA 30363 |
| | | | 23.22% | | |
| | |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 13.15% | | |
| | |
UBS Financial Services,
Inc.
1000
Harbor Boulevard, Floor 8
Weehawken, NJ 07086 |
| | | | 12.77% | | |
Class L |
| |
Morgan Stanley Smith Barney
LLC
1 New
York Plaza, Floor 12
New
York, NY 10004 |
| | | | 32.47% | | |
| |
Charles Schwab & Company,
Inc.
211
Main Street
San
Francisco, CA 94105 |
| | | | 28.99% | | | |
| | |
National Financial Services
LLC
82
Devonshire Street
Boston,
MA 02109 |
| | | | 17.50% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
| | |
TD Ameritrade, Inc.
200
South 108th Avenue
Omaha,
NE 68154 |
| | | | 11.37% | | |
Class C |
| |
Pershing LLC
1
Pershing Plaza
Jersey
City, NJ 07399 |
| | | | 40.97% | | |
| | |
LPL Financial
4707
Executive Drive
San
Diego, CA 92121 |
| | | | 37.04% | | |
| | |
Raymond James &
Associates
880
Carillon Parkway
St.
Petersburg, FL 33716 |
| | | | 12.92% | | |
Class |
| |
Name and Address of
Owner |
| |
Percent of Class |
| |||
Class I |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 100.00% | | |
Class Y |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 97.43% | | |
Class L |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 100.00% | | |
Class C |
| |
Barings LLC
300
South Tryon Street, Suite 2500
Charlotte, NC 28202 |
| | | | 100.00% | | |
Fund |
| | | |
Global Floating Rate Fund |
| | 0.65% | |
Global Credit Income Opportunities Fund
|
| | 0.75% | |
Emerging Markets Debt Blended Total Return
Fund |
| | 0.75% | |
Global Emerging Markets Equity Fund
|
| | 0.90% | |
|
Global Floating Rate Fund |
| | 0.30% | |
|
Global Credit Income Opportunities Fund
|
| | 0.30% | |
| Emerging Markets Debt Blended Total Return Fund | | | 0.35% | |
|
Global Emerging Markets Equity
Fund |
| | 0.35% | |
| | |
Class I |
| |
Class Y |
| |
Class L |
| |
Class C |
| |||||||||
Global Floating Rate Fund |
| | | | None | | | | | | 0.07% | | | | | | 0.04% | | | |
0.03% |
|
Global Credit Income Opportunities Fund
|
| | | | None | | | | | | 0.05% | | | |
0.06% |
| |
0.03% |
| |||
Emerging Markets Debt Blended Total Return
Fund |
| | | | None | | | | | | 0.06% | | | |
0.02% |
| |
None |
| |||
Global Emerging Markets Equity Fund
|
| | | | None | | | | | | 0.03% | | | |
0.02% |
| |
None |
|
| | |
Fiscal Year Ended
September 30, 2022 |
| |||||||||||||||||||||||||||
| | |
Advisory Fees Paid |
| |
Subadvisory Fees Paid |
| |
Advisory Fees Waived |
| |
Administrative Fees Paid |
| |
Other Expenses Reimbursed |
| |||||||||||||||
Global Floating Rate Fund 1
|
| | | $ | 2,127,187 | | | | | $ | 635,208 | | | | | $ | — | | | | | $ | 171,654 | | | | | $ | (483,915) | | |
Global Credit Income
Opportunities
Fund2
|
| | | | 868,497 | | | | | | 259,263 | | | | | | — | | | | | | 59,325 | | | | | | (270,801) | | |
Emerging Markets Debt Blended
Total
Return Fund3
|
| | | | 541,254 | | | | | | 160,780 | | | | | | — | | | | | | 40,154 | | | | | | (279,829) | | |
Global Emerging Markets Equity
Fund 4
|
| | | | 79,637 | | | | | | 19,817 | | | | | | — | | | | | | 1,337 | | | | | | (159,341) | | |
| | | |
Class L 12b-1 Fees |
| |
Class C 12b-1 Fees |
| ||||||
|
Global Floating Rate Fund 1
|
| | | $ | 105,959 | | | | | $ | 54,990 | | |
|
Global Credit Income Opportunities
Fund 1
|
| | | | 115,067 | | | | | | 38,818 | | |
|
Emerging Markets Debt Blended Total Return
Fund 1
|
| | | | 13,894 | | | | | | 4,592 | | |
|
Global Emerging Markets Equiy
Fund 1
|
| | | | 217 | | | | | | 860 | | |
| | | | | $ | 235,137 | | | | | $ | 99,260 | | |
| | |
Fiscal Year ended September 30, 2022 |
| | | |||||||
Global Credit Income Opportunities
Fund 1
|
| | | $ | 353 | | | | | | | | |
Emerging Markets Debt Blended
Total Return
Fund1
|
| | | $ | 990 | | | | | | | | |
Global Emerging Markets Equity
Fund 1
|
| | | $ | 2,664 | | | | | | | | |
|
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 |
| |||||||||||||||||||||||||||
|
Global Floating
Rate Fund1
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
|
Global Credit
Income Opportunities
Fund1
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
|
Emerging Markets
Debt Blended Total Return Fund1 |
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
|
Global Emerging
Markets Equity
Fund1 |
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
|
Description/Requirement |
| |
Barings
Record |
| |
Creator |
| |
Owner |
| |
Retention Period |
| |
Source |
|
| The Compliance review and any approvals needed by GCC of Policy, proxy activity, and approval of Proxy Voting Forms | | | Compliance and GCC meeting materials | | | Proxy Voting Team and Compliance | | | GCC Representative | | |
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* |
| ||||||
| Sean Feeley | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 6 | | | |
$1,520 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$2,668 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 19 | | | |
$4,010 million |
| | | | 0 | | | |
$0 |
|
| Martin Horne | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 1 | | | |
$130
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
| Casey McKinney | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$1,161 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 5 | | | |
$2,024 million |
| | | | 0 | | | |
$0 |
|
| Chris Sawyer | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$130
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$13,342 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,173 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**
|
| | | | 6 | | | |
$1,706 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 7 | | | |
$2,668 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 19 | | | |
$4,010 million |
| | | | 0 | | | |
$0 |
|
| Martin Horne | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 1 | | | |
$316
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Omotunde Lawal |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$632
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 2 | | | |
$305
million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 12 | | | |
$1,007 million |
| | | | 0 | | | |
$0 |
|
|
Brian Pacheco
|
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Scott Roth |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$821
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 11 | | | |
$4,385 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 18 | | | |
$3,890 million |
| | | | 0 | | | |
$0 |
|
|
Chris Sawyer |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 5 | | | |
$316
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 8 | | | |
$13,342 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 4 | | | |
$1,173 million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Ricardo Adrogué | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$164
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$4,436 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 11 | | | |
$629
million |
| | | | 0 | | | |
$0 |
|
| Cem Karacadag | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$164
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 5 | | | |
$4,787 million |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 23 | | | |
$3,453 million |
| | | | 0 | | | |
$0 |
|
|
Natalia Krol |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 3 | | | |
$796
million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 9 | | | |
$341
million |
| | | | 0 | | | |
$0 |
|
| | | |
Number of Accounts Managed* |
| |
Total
Assets* |
| |
Number of Accounts Managed for which Advisory Fee is Performance- Based* |
| |
Total
Assets* |
| ||||||
| Isabelle Irish | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 2 | | | |
$618 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1 | | | |
$13 million |
| | | | 0 | | | |
$0 |
|
| Michael Levy | | | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 1 | | | |
$413 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1 | | | |
$13 million |
| | | | 0 | | | |
$0 |
|
|
William Palmer |
| | | | | | | | | | | | | | | | | | |
|
Registered investment companies**
|
| | | | 1 | | | |
$413 million |
| | | | 0 | | | |
$0 |
|
|
Other
pooled investment vehicles |
| | | | 0 | | | |
$0 |
| | | | 0 | | | |
$0 |
|
|
Other
accounts |
| | | | 1 | | | |
$13 million |
| | | | 0 | | | |
$0 |
|