Fund
Name |
JPMorgan
Prime
Money
Market
Fund
(“Prime
Money
Market
Fund”) |
JPMorgan
100%
U.S.
Treasury
Securities
Money
Market
Fund
(“100%
U.S.
Treasury
Securities
Money
Market
Fund”) |
JPMorgan
Federal
Money
Market
Fund
(“Federal
Money
Market
Fund”) |
JPMorgan
California
Municipal
Money
Market
Fund
(“California
Municipal
Money
Market
Fund”) |
JPMorgan
New
York
Municipal
Money
Market
Fund
(“New
York
Municipal
Money
Market
Fund”) |
JPMorgan
Tax
Free Money
Market
Fund
(“Tax
Free
Money
Market
Fund”) |
Academy |
JPAXX |
JACXX |
|
|
|
|
Agency |
VMIXX |
VPIXX |
VFIXX |
JOYXX |
JONXX |
VTIXX |
Capital |
CJPXX |
CJTXX |
JFCXX
* |
|
|
|
Empower |
EJPXX |
EJTXX |
|
|
|
|
IM
Shares |
JIMXX |
JSMXX |
|
|
|
|
Institutional
Class |
JINXX |
JTSXX |
JFMXX |
JGCXX |
JGNXX |
JTFXX |
Morgan |
VMVXX |
HTSXX |
VFVXX |
VCAXX |
VNYXX |
VTMXX |
Premier |
VPMXX |
VHPXX |
VFPXX |
JCRXX |
JNPXX |
VXPXX |
Reserve |
JRVXX |
RJTXX |
|
|
JNYXX |
RTJXX |
Service |
|
|
|
JCVXX |
JNVXX |
|
Fund
Name |
JPMorgan
U.S.
Government
Money
Market
Fund
(“U.S.
Government
Money
Market
Fund”) |
JPMorgan
U.S.
Treasury
Plus
Money
Market
Fund
(“U.S.
Treasury
Plus
Money
Market
Fund”) |
JPMorgan
Liquid
Assets
Money
Market
Fund
(“Liquid
Assets
Money
Market
Fund”) |
JPMorgan
Municipal
Money
Market
Fund
(“Municipal
Money
Market
Fund”) |
Academy |
JGAXX |
JPCXX |
|
|
Agency |
OGAXX |
AJTXX |
AJLXX |
JMAXX |
Capital |
OGVXX |
JTCXX |
CJLXX |
|
Empower |
EJGXX |
EJUXX |
|
|
IM
Shares |
MGMXX |
MJPXX |
|
|
Institutional
Class |
IJGXX |
IJTXX |
IJLXX |
IJMXX |
Investor |
JGMXX |
HGOXX |
HLPXX |
|
Morgan |
MJGXX |
MJTXX |
MJLXX |
MJMXX |
Premier |
OGSXX |
PJTXX |
PJLXX |
HTOXX |
Reserve |
RJGXX |
HTIXX |
HPIXX |
|
Service |
SJGXX |
|
|
SJMXX |
Fund
Name |
JPMorgan
Institutional
Tax
Free
Money Market
Fund
(“Institutional
Tax
Free Money
Market
Fund”) |
JPMorgan
Securities
Lending Money Market
Fund
(“Securities Lending Money
Market
Fund”) |
Agency |
JOAXX |
|
Agency
SL |
|
VSLXX |
Capital |
JOCXX |
|
IM
Shares |
JOIXX |
|
Institutional
Class |
JOFXX |
|
Morgan
Shares: |
Academy
Shares, Agency Shares, Agency SL
Shares,
Capital Shares, Empower Shares, IM
Shares,
Institutional Class Shares, Investor
Shares,
Premier
Shares, Reserve Shares and Service
Class
Shares: |
|
|
J.P.
Morgan Funds Services
P.O.
Box 219143
Kansas
City, MO 64121-9143
1-800-480-4111 |
Regular
mailing address:
J.P.
Morgan Institutional Funds Service Center
P.O.
Box 219265
Kansas
City, MO 64121-9265
1-800-766-7722 |
|
Overnight
mailing address:
J.P.
Morgan Institutional Funds Service Center
c/o
DST Systems, Inc.
Suite
219265
430
W. 7th
Street
Kansas
City, MO 64105-1407
1-800-766-7722 |
Target
Funds |
Surviving
Funds |
One
Group Treasury Only Money Market Fund |
JPMorgan
100% U.S Treasury Securities Money
Market
Fund |
One
Group U.S. Government Securities Money
Market
Fund; JPMorgan U.S. Government Money
Market
Fund |
One
Group Government Money Market Fund now
known
as JPMorgan U.S. Government Money
Market
Fund |
JPMorgan
Liquid Assets Money Market Fund |
One
Group Prime Money Market Fund now known
as
JPMorgan Liquid Assets Money Market Fund |
JPMorgan
Treasury Plus Money Market Fund |
One
Group U.S. Treasury Securities Money Market
Fund
now known as JPMorgan U.S. Treasury Plus
Money
Market Fund |
Former
Name |
Current
Name |
One
Group Government Money Market Fund |
JPMorgan
U.S. Government Money Market Fund |
One
Group Municipal Money Market Fund |
JPMorgan
Municipal Money Market Fund |
One
Group Prime Money Market Fund |
JPMorgan
Liquid Assets Money Market Fund |
One
Group U.S. Treasury Securities Money Market
Fund |
JPMorgan
U.S. Treasury Plus Money Market Fund |
JPMorgan
California Tax Free Money Market Fund |
JPMorgan
California Municipal Money Market
Fund |
JPMorgan
New York Tax Free Money Market Fund |
JPMorgan
New York Municipal Money Market
Fund |
Former
Name |
Current
Name |
JPMorgan
Prime Money Market Fund II |
JPMorgan
Prime Money Market Fund |
JPMorgan
Federal Money Market Fund II |
JPMorgan
Federal Money Market Fund |
Fund |
Academy |
Agency |
Agency
SL |
Capital |
Empower |
IM
Shares |
Institutional
Tax Free Money Market Fund |
|
X |
|
X |
|
X4
|
Prime
Money Market Fund |
X1
|
X |
|
X |
X2
|
X4
|
Securities
Lending Money Market Fund |
|
|
X3
|
|
|
|
100%
U.S. Treasury Securities Money Market Fund |
|
X |
|
X |
X2
|
X4
|
Federal
Money Market Fund |
|
X |
|
X
* |
|
|
U.S.
Government Money Market Fund |
X1
|
X |
|
X |
X2
|
X4
|
U.S.
Treasury Plus Money Market Fund |
|
X |
|
X |
X2
|
X4
|
California
Municipal Money Market Fund |
|
X |
|
|
|
|
Liquid
Assets Money Market Fund |
|
X |
|
X |
|
|
Municipal
Money Market Fund |
|
X |
|
|
|
|
New
York Municipal Money Market Fund |
|
X |
|
|
|
|
Tax
Free Money Market Fund |
|
X |
|
|
|
|
|
Institutional
Class |
Investor |
Morgan |
Premier |
Reserve |
Service |
Institutional
Tax Free Money Market Fund |
X |
|
|
|
|
|
Prime
Money Market Fund |
X |
|
X |
X |
X |
|
Securities
Lending Money Market Fund |
|
|
|
|
|
|
100%
U.S. Treasury Securities Money Market Fund |
X |
|
X |
X |
X |
|
Federal
Money Market Fund |
X |
|
X |
X |
|
|
U.S.
Government Money Market Fund |
X |
X |
X |
X |
X |
X |
U.S.
Treasury Plus Money Market Fund |
X |
X |
X |
X |
X |
|
Liquid
Assets Money Market Fund |
X |
X |
X |
X |
X |
|
California
Municipal Money Market Fund |
X |
|
X |
X |
|
X |
Municipal
Money Market Fund |
X |
|
X |
X |
|
X |
New
York Municipal Money Market Fund |
X |
|
X |
X |
X |
X |
Tax
Free Money Market Fund |
X |
|
X |
X |
X |
|
FUND
NAME |
FUND
CODE |
Institutional
Tax Free Money Market Fund |
1 |
Prime
Money Market Fund |
2 |
Securities
Lending Money Market Fund |
3 |
100%
U.S. Treasury Securities Money Market Fund |
4 |
Federal
Money Market Fund |
5 |
U.S.
Government Money Market Fund |
6 |
U.S.
Treasury Plus Money Market Fund |
7 |
California
Municipal Money Market Fund |
8 |
Liquid
Assets Money Market Fund |
9 |
Municipal
Money Market Fund |
10 |
New
York Municipal Money Market Fund |
11 |
Tax
Free Money Market Fund |
12 |
Instrument |
Fund
Code |
Part
II
Section
Reference |
Asset-Backed
Securities: Securities
secured by company
receivables,
home equity loans, truck and auto loans, leases,
and
credit card receivables or other securities backed by
other
types of receivables or other assets. |
1-2,
8-12 |
Asset-Backed
Securities |
Bank
Obligations: Bankers’
acceptances, certificates of
deposit
and time deposits. Bankers’ acceptances are bills of
exchange
or time drafts drawn on and accepted by a
commercial
bank. Maturities are generally six months or
less.
Certificates of deposit are negotiable certificates issued
by
a bank for a specified period of time and earning a
specified
return. Time deposits are non-negotiable receipts
issued
by a bank in exchange for the deposit of funds. |
1-2,
8-12 |
Bank
Obligations |
Borrowings:
The
Fund may borrow for temporary purposes
and/or
for investment purposes. Such a practice will result
in
leveraging of the Fund’s assets and may cause the Fund to
liquidate
portfolio positions when it would not be
advantageous
to do so. The Fund must maintain continuous
asset
coverage of 300% of the amount borrowed, with the
exception
for borrowings not in excess of 5% of the Fund’s
total
assets made for temporary administrative purposes. |
1,
3 |
Miscellaneous
Investment
Strategies
and Risks |
Commercial
Paper: Secured
and unsecured short-term
promissory
notes issued by corporations and other entities.
Maturities
generally vary from a few days to nine months. |
1-2,
8-12 |
Commercial
Paper |
Corporate
Debt Securities: May
include bonds and other
debt
securities of domestic and foreign issuers, including
obligations
of industrial, utility, banking and other corporate
issuers. |
1-2,
9 |
Debt
Instruments |
Demand
Features: Securities
that are subject to puts and
standby
commitments to purchase the securities at a fixed
price
(usually with accrued interest) within a fixed period of
time
following demand by a Fund. |
1-3,
6-12 |
Demand
Features |
Extendable
Commercial Notes: Variable
rate notes which
normally
mature within a short period of time (e.g., one
month)
but which may be extended by the issuer for a
maximum
maturity of thirteen months. |
1-2,
8-12 |
Debt
Instruments |
Instrument |
Fund
Code |
Part
II
Section
Reference |
Foreign
Investments: Commercial
paper of foreign issuers
and
obligations of foreign branches of U.S. banks and
foreign
banks. Foreign securities may also include American
Depositary
Receipts (“ADRs”), Global Depositary Receipts
(“GDRs”),
European Depositary Receipts (“EDRs”) and
American
Depositary Securities. |
2,
8-12 |
Foreign
Investments
(including
Foreign
Currencies) |
Inflation-Linked
Debt Securities: Fixed
and floating rate
debt
securities of varying maturities issued by the U.S.
government
as well as securities issued by other entities
such
as corporations, foreign governments and foreign
issuers. |
3 |
Debt
Instruments |
Interfund
Lending: Involves
lending money and borrowing
money
for temporary purposes through a credit facility. |
1-12 |
Miscellaneous
Investment
Strategies
and Risks |
Investment
Company Securities: Shares
of other investment
companies,
including money market funds for which the
Adviser
and/or its affiliates serve as investment adviser or
administrator.
The Adviser will waive certain fees when
investing
in funds for which it serves as investment adviser,
to
the extent required by law or by contract. |
1-3,
5, 6,
8-12 |
Investment
Company
Securities
and
Exchange
Traded
Funds |
Loan
Assignments and Participations:
Assignments of, or
participations
in, all or a portion of loans to corporations or
to
governments, including governments in less developed
countries. |
8,
10-12 |
Loans |
Mortgage-Backed
Securities: Debt
obligations secured by
real
estate loans and pools of loans such as collateralized
mortgage
obligations (“CMOs”), commercial mortgage-
backed
securities (“CMBSs”), and other asset-backed
structures. |
1-3,
5, 6,
8-12 |
Mortgage-Related
Securities |
Municipal
Securities: Securities
issued by a state or political
subdivision
to obtain funds for various public purposes.
Municipal
securities include, among others, private activity
bonds
and industrial development bonds, as well as general
obligation
notes, tax anticipation notes, bond anticipation
notes,
revenue anticipation notes, other short-term tax-
exempt
obligations, municipal leases, obligations of
municipal
housing authorities and single family revenue
bonds. |
1-2,
8-12 |
Municipal
Securities |
New
Financial Products: New
options and futures contracts
and
other financial products continue to be developed and
the
Fund may invest in such options, contracts and
products. |
1,
3 |
Miscellaneous
Investment
Strategies
and Risks |
Participation
Certificates: Certificates
representing an
interest
in a pool of funds or in other instruments, such as a
mortgage
pool. |
1-2,
8-12 |
Additional
Information
on the
Use
of Participation
Certificates
in Part I
of
the SAI |
Preferred
Stock: A
class of stock that generally pays a
dividend
at a specified rate and has preference over common
stock
in the payment of dividends and in liquidation. |
1 |
Equity
Securities,
Warrants
and Rights |
Private
Placements, Restricted Securities and Other
Unregistered
Securities: Securities
not registered under the
Securities
Act of 1933, such as privately placed commercial
paper
and Rule 144A securities. |
1-2,
8-12 |
Miscellaneous
Investment
Strategies
and Risks |
Repurchase
Agreements: The
purchase of a security and the
simultaneous
commitment to return the security to the seller
at
an agreed upon price on an agreed upon date. This is
treated
as a loan. |
1-3,
5-12 |
Repurchase
Agreements |
Instrument |
Fund
Code |
Part
II
Section
Reference |
Reverse
Repurchase Agreements: The
sale of a security and
the
simultaneous commitment to buy the security back at an
agreed
upon price on an agreed upon date. This is treated as
a
borrowing by a Fund. |
1-3,
5-12 |
Reverse
Repurchase
Agreements |
Short-Term
Funding Agreements: Agreements
issued by
banks
and highly rated U.S. insurance companies such as
Guaranteed
Investment Contracts (“GICs”) and Bank
Investment
Contracts (“BICs”). |
2,
8-12 |
Short-Term
Funding
Agreements |
Sovereign
Obligations: Investments
in debt obligations
issued
or guaranteed by a foreign sovereign government or
its
agencies, authorities or political subdivisions. |
2,
9 |
Foreign
Investments
(including
Foreign
Currencies) |
Structured
Investments: A
security having a return tied to an
underlying
index or other security or asset class. Structured
investments
generally are individually negotiated
agreements
and may be traded over-the-counter. Structured
investments
are organized and operated to restructure the
investment
characteristics of the underlying security. |
1-3,
5, 6,
8-12 |
Structured
Investments |
Synthetic
Variable Rate Instruments: Instruments
that
generally
involve the deposit of a long-term tax exempt
bond
in a custody or trust arrangement and the creation of a
mechanism
to adjust the long-term interest rate on the bond
to
a variable short-term rate and a right (subject to certain
conditions)
on the part of the purchaser to tender it
periodically
to a third party at par. |
1-2,
8-12 |
Swaps
and Related
Swap
Products |
Temporary
Defensive Positions: To
respond to unusual
circumstances,
a Fund may hold cash or deviate from its
investment
strategy. |
1-12 |
Miscellaneous
Investment
Strategies
and Risks |
Treasury
Receipts: A
Fund may purchase interests in
separately
traded interest and principal component parts of
U.S.
Treasury obligations that are issued by banks or
brokerage
firms and that are created by depositing U.S.
Treasury
notes and U.S. Treasury bonds into a special
account
at a custodian bank. Receipts include Treasury
Receipts
(“TRs”), Treasury Investment Growth Receipts
(“TIGRs”),
and Certificates of Accrual on Treasury
Securities
(“CATS”). |
2,
3, 8-12 |
Treasury
Receipts |
U.S.
Government Agency Securities: Securities
issued by
agencies
and instrumentalities of the U.S. government.
These
include all types of securities issued or guaranteed by
the
Government National Mortgage Association (“Ginnie
Mae”),
the Federal National Mortgage Association (“Fannie
Mae”)
and the Federal Home Loan Mortgage Corporation
(“Freddie
Mac”), including funding notes, subordinated
benchmark
notes, Government-Sponsored Enterprises
(“GSEs”),
CMOs and Real Estate Mortgage Investment
Conduits
(“REMICs”). |
1-3,
5, 6,
8-12 |
Mortgage-Related
Securities |
U.S.
Government Obligations: May
include direct
obligations
of the U.S. Treasury, including Treasury bills,
notes
and bonds, all of which are backed as to principal and
interest
payments by the full faith and credit of the United
States,
and separately traded principal and interest
component
parts of such obligations that are transferable
through
the Federal book-entry system known as Separate
Trading
of Registered Interest and Principal of Securities
(“STRIPS”)
and Coupons Under Book-Entry Safekeeping
(“CUBES”). |
1-12 |
U.S.
Government
Obligations |
Instrument |
Fund
Code |
Part
II
Section
Reference |
Variable
and Floating Rate Instruments: Obligations
with
interest
rates which are reset daily, weekly, quarterly or some
other
frequency and which may be payable to a Fund on
demand
or at the expiration of a specified term. |
1-12 |
Debt
Instruments |
When-Issued
Securities, Delayed Delivery Securities and
Forward
Commitments: Purchase
or contract to purchase
securities
at a fixed price for delivery at a future date. |
1-12 |
When-Issued
Securities,
Delayed
Delivery
Securities
and
Forward
Commitments |
Zero-Coupon,
Pay-in-Kind and Deferred Payment
Securities:
Zero-coupon securities are securities that are
sold
at a discount to par value and on which interest
payments
are not made during the life of the security. Pay-
in-kind
securities are securities that have interest payable by
delivery
of additional securities. Deferred payment
securities
are zero-coupon debt securities which convert on
a
specified date to interest bearing debt securities. |
2-12 |
Debt
Instruments |
Committee |
Fiscal
Year Ended
February
29, 2024 |
Audit
and Valuation Committee |
4 |
Compliance
Committee |
4 |
Governance
Committee |
6 |
Equity
Committee |
7 |
ETF
Committee |
4 |
Fixed
Income Committee |
6 |
Money
Market and Alternative Products Committee |
5 |
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
100%
U.S.
Treasury
Securities
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
California
Municipal
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Federal
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Institutional
Tax
Free
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Liquid
Assets
Money
Market
Fund |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
None |
None |
None |
None |
None |
Stephen
P. Fisher |
Over
$100,000 |
None |
None |
None |
None |
Gary
L. French |
None |
None |
None |
None |
Over
$100,000 |
Kathleen
M. Gallagher |
None |
None |
None |
None |
None |
Robert
J. Grassi |
None |
None |
None |
None |
None |
Frankie
D. Hughes |
None |
None |
None |
None |
Over
$100,000 |
Raymond
Kanner |
None |
None |
None |
None |
None |
Thomas
P. Lemke |
None |
None |
None |
None |
None |
Lawrence
R. Maffia |
None |
None |
None |
None |
None |
Mary
E. Martinez |
None |
None |
None |
None |
None |
Marilyn
McCoy |
None |
None |
None |
None |
None |
Dr.
Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian
U. Pardo |
None |
None |
None |
None |
None |
Emily
A. Youssouf |
None |
None |
None |
None |
None |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
None |
None |
None |
None |
None |
Nina
O. Shenker |
None |
None |
None |
None |
None |
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
Municipal
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
New
York
Municipal
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Prime
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Securities
Lending
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Tax
Free
Money
Market
Fund |
Independent
Trustees |
|
|
|
|
|
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
Municipal
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
New
York
Municipal
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Prime
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Securities
Lending
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
Tax
Free
Money
Market
Fund |
John
F. Finn |
None |
None |
None |
None |
None |
Stephen
P. Fisher |
None |
None |
None |
None |
None |
Gary
L. French |
None |
None |
None |
None |
None |
Kathleen
M. Gallagher |
None |
None |
Over
$100,000 |
None |
None |
Robert
J. Grassi |
None |
None |
None |
None |
None |
Frankie
D. Hughes |
None |
None |
None |
None |
None |
Raymond
Kanner |
None |
None |
None |
None |
None |
Thomas
P. Lemke |
None |
None |
None |
None |
None |
Lawrence
R. Maffia |
None |
None |
None |
None |
None |
Mary
E. Martinez |
None |
None |
None |
None |
None |
Marilyn
McCoy |
None |
None |
None |
None |
None |
Dr.
Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian
U. Pardo |
None |
None |
None |
None |
None |
Emily
A. Youssouf |
None |
None |
None |
None |
None |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
None |
None |
None |
None |
None |
Nina
O. Shenker |
None |
None |
None |
None |
None |
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
U.S.
Government
Money
Market
Fund |
Dollar
Range
of
Equity
Securities
in
U.S.
Treasury
Plus
Money
Market
Fund |
Aggregate
Dollar
Range
of
Equity
Securities
in
All
Registered
Investment
Companies
Overseen
by the
Trustee
in
Family
of
Investment
Companies1,2
|
Independent
Trustees |
|
|
|
John
F. Finn |
None |
None |
Over
$100,000 |
Stephen
P. Fisher |
None |
None |
Over
$100,000 |
Gary
L. French |
None |
None |
Over
$100,000 |
Kathleen
M. Gallagher |
$50,001–
$100,000 |
None |
Over
$100,000 |
Robert
J. Grassi |
None |
None |
Over
$100,000 |
Frankie
D. Hughes |
None |
None |
Over
$100,000 |
Raymond
Kanner |
None |
None |
Over
$100,000 |
Thomas
P. Lemke |
None |
None |
Over
$100,000 |
Lawrence
R. Maffia |
None |
None |
Over
$100,000 |
Mary
E. Martinez |
None |
None |
Over
$100,000 |
Marilyn
McCoy |
None |
None |
Over
$100,000 |
Dr.
Robert A. Oden, Jr. |
None |
None |
Over
$100,000 |
Marian
U. Pardo |
None |
None |
Over
$100,000 |
Emily
A. Youssouf |
None |
None |
Over
$100,000 |
Interested
Trustees |
|
|
|
Robert
Deutsch |
None |
None |
Over
$100,000 |
Nina
O. Shenker |
None |
Over
$100,000 |
Over
$100,000 |
Name
of Trustee |
Institutional
Tax
Free
Money
Market
Fund |
Prime
Money
Market
Fund |
Securities
Lending
Money
Market
Fund |
100%
U.S.
Treasury
Securities
Money
Market
Fund |
Federal
Money
Market
Fund |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
$2,127 |
$28,521 |
$2,433 |
$46,459 |
$3,642 |
Stephen
P. Fisher |
1,882 |
16,799 |
2,054 |
26,933 |
2,738 |
Gary
L. French |
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Kathleen
M. Gallagher |
1,882 |
16,799 |
2,054 |
26,933 |
2,738 |
Robert
J. Grassi |
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Frankie
D. Hughes |
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Raymond
Kanner |
1,882 |
16,799 |
2,054 |
26,933 |
2,738 |
Thomas
P. Lemke |
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Lawrence
R. Maffia |
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Mary
E. Martinez |
1,987 |
21,823 |
2,216 |
35,301 |
3,125 |
Marilyn
McCoy |
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Dr.
Robert A. Oden, Jr. |
1,882 |
16,799 |
2,054 |
26,933 |
2,738 |
Marian
U. Pardo |
1,882 |
16,799 |
2,054 |
26,933 |
2,738 |
Emily
A. Youssouf |
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
1,882 |
16,799 |
2,054 |
26,933 |
2,738 |
Nina
O. Shenker8
|
1,791 |
12,445 |
1,914 |
19,680 |
2,402 |
Name
of Trustee |
U.S.
Government
Money
Market
Fund |
U.S.
Treasury
Plus
Money
Market
Fund |
California
Municipal
Money
Market
Fund |
Liquid
Assets
Money
Market
Fund |
Municipal
Money
Market
Fund |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
$87,900 |
$13,755 |
$1,782 |
$16,874 |
$2,080 |
Stephen
P. Fisher |
50,357 |
8,453 |
1,686 |
10,214 |
1,855 |
Gary
L. French |
36,412 |
6,483 |
1,651 |
7,740 |
1,771 |
Kathleen
M. Gallagher |
50,357 |
8,453 |
1,686 |
10,214 |
1,855 |
Robert
J. Grassi |
36,412 |
6,483 |
1,651 |
7,740 |
1,771 |
Frankie
D. Hughes |
36,412 |
6,483 |
1,651 |
7,740 |
1,771 |
Raymond
Kanner |
50,357 |
8,453 |
1,686 |
10,214 |
1,855 |
Thomas
P. Lemke |
36,412 |
6,483 |
1,651 |
7,740 |
1,771 |
Lawrence
R. Maffia |
36,412 |
6,483 |
1,651 |
7,740 |
1,771 |
Mary
E. Martinez |
66,447 |
10,725 |
1,727 |
13,068 |
1,951 |
Marilyn
McCoy |
36,412 |
6,483 |
1,651 |
7,740 |
1,771 |
Dr.
Robert A. Oden, Jr. |
50,357 |
8,453 |
1,686 |
10,214 |
1,855 |
Marian
U. Pardo |
50,357 |
8,453 |
1,686 |
10,214 |
1,855 |
Name
of Trustee |
U.S.
Government
Money
Market
Fund |
U.S.
Treasury
Plus
Money
Market
Fund |
California
Municipal
Money
Market
Fund |
Liquid
Assets
Money
Market
Fund |
Municipal
Money
Market
Fund |
Emily
A. Youssouf |
$36,412 |
$6,483 |
$1,651 |
$7,740 |
$1,771 |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
50,357 |
8,453 |
1,686 |
10,214 |
1,855 |
Nina
O. Shenker8
|
36,412 |
6,483 |
1,651 |
7,740 |
1,771 |
Name
of Trustee |
New
York
Municipal
Money
Market
Fund |
Tax
Free
Money
Market
Fund |
Total
Compensation
Paid
From
Fund
Complex1
|
Independent
Trustees |
|
|
|
John
F. Finn |
$2,359 |
$5,523 |
$660,000 |
Stephen
P. Fisher |
2,013 |
3,801 |
485,000 |
Gary
L. French |
1,884 |
3,162 |
420,0002
|
Kathleen
M. Gallagher |
2,013 |
3,801 |
485,0003
|
Robert
J. Grassi |
1,884 |
3,162 |
420,000 |
Frankie
D. Hughes |
1,884 |
3,162 |
420,000 |
Raymond
Kanner |
2,013 |
3,801 |
485,0004
|
Thomas
P. Lemke |
1,884 |
3,162 |
420,0005
|
Lawrence
R. Maffia |
1,884 |
3,162 |
420,000 |
Mary
E. Martinez |
2,161 |
4,539 |
560,000 |
Marilyn
McCoy |
1,884 |
3,162 |
420,0006
|
Dr.
Robert A. Oden, Jr. |
2,013 |
3,801 |
485,000 |
Marian
U. Pardo |
2,013 |
3,801 |
485,000 |
Emily
A. Youssouf |
1,884 |
3,162 |
420,0002
|
Interested
Trustees |
|
|
|
Robert
Deutsch |
2,013 |
3,801 |
485,0007
|
Nina
O. Shenker8
|
1,884 |
3,162 |
420,0006
|
|
Fiscal
Year Ended | |||||
|
February
28, 2022 |
February
28, 2023 |
February
29, 2024 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived |
Institutional
Tax Free Money
Market
Fund |
$643 |
$(647) |
$1,273 |
$(23) |
$1,145 |
$(21) |
Prime
Money Market Fund |
44,902 |
(14,803) |
47,059 |
(1,661) |
61,271 |
(22) |
Securities
Lending Money
Market
Fund |
834 |
(1,397) |
405 |
(1,004) |
920 |
(1,203) |
100%
U.S. Treasury Securities
Money
Market Fund |
32,457 |
(46,175) |
67,591 |
(32) |
118,135 |
(35) |
Federal
Money Market Fund |
522 |
(1,191) |
1,454 |
(132) |
5,455 |
(47) |
|
Fiscal
Year Ended | |||||
|
February
28, 2022 |
February
28, 2023 |
February
29, 2024 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived |
U.S.
Government Money Market
Fund |
$64,265 |
$(125,535) |
$169,706 |
$(17,051) |
$204,733 |
$(67) |
U.S.
Treasury Plus Money
Market
Fund |
8,597 |
(12,383) |
16,999 |
(1,532) |
30,125 |
(10) |
California
Municipal Money
Market
Fund |
24 |
(172) |
310 |
(81) |
330 |
(72) |
Liquid
Assets Money Market
Fund |
6,043 |
(522) |
11,546 |
(18) |
39,389 |
(812) |
Municipal
Money Market Fund |
467 |
(296) |
845 |
(58) |
1,254 |
(15) |
New
York Municipal Money
Market
Fund |
296 |
(269) |
1,137 |
(55) |
1,727 |
(5) |
Tax
Free Money Market Fund |
4,295 |
(2,272) |
8,199 |
— |
8,533 |
— |
|
Fiscal
Year Ended | |||||
|
February
28, 2022 |
February
28, 2023 |
February
29, 2024 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived |
Institutional
Tax Free Money Market
Fund |
$331 |
$(425) |
$774 |
$(15) |
$554 |
$(14) |
Prime
Money Market Fund |
25,209 |
(9,860) |
28,857 |
(1,093) |
29,682 |
— |
Securities
Lending Money Market
Fund |
379 |
(931) |
202 |
(658) |
226 |
(802) |
100%
U.S. Treasury Securities
Money
Market Fund |
15,463 |
(30,770) |
41,535 |
(2) |
56,803 |
— |
Federal
Money Market Fund |
228 |
(778) |
905 |
(88) |
2,628 |
(31) |
U.S.
Government Money Market
Fund |
27,997 |
(83,661) |
102,902 |
(11,312) |
99,127 |
— |
U.S.
Treasury Plus Money Market
Fund |
4,075 |
(8,251) |
10,371 |
(1,010) |
14,543 |
— |
California
Municipal Money Market
Fund |
10 |
(105) |
188 |
(54) |
150 |
(48) |
Liquid
Assets Money Market Fund |
3,510 |
(341) |
7,316 |
(10) |
18,786 |
(533) |
Municipal
Money Market Fund |
256 |
(192) |
513 |
(38) |
602 |
(10) |
New
York Municipal Money Market
Fund |
155 |
(177) |
697 |
(37) |
837 |
(3) |
Tax
Free Money Market Fund |
2,342 |
(1,515) |
5,038 |
— |
4,146 |
— |
|
Fiscal
Year Ended | ||
Fund |
February
28, 2022 |
February
28, 2023 |
February
29, 2024 |
Institutional
Tax Free Money Market Fund |
$103 |
$107 |
$118 |
Prime
Money Market Fund |
951 |
802 |
962 |
Securities
Lending Money Market Fund |
118 |
110 |
132 |
100%
U.S. Treasury Securities Money Market Fund |
1,160 |
1,007 |
1,436 |
Federal
Money Market Fund |
45 |
45 |
99 |
|
Fiscal
Year Ended | ||
Fund |
February
28, 2022 |
February
28, 2023 |
February
29, 2024 |
U.S.
Government Money Market Fund |
$1,424 |
$1,424 |
$1,446 |
U.S.
Treasury Plus Money Market Fund |
321 |
289 |
445 |
California
Municipal Money Market Fund |
35 |
35 |
35 |
Liquid
Assets Money Market Fund |
113 |
205 |
594 |
Municipal
Money Market Fund |
35 |
35 |
38 |
New
York Municipal Money Market Fund |
35 |
41 |
45 |
Tax
Free Money Market Fund |
114 |
141 |
141 |
Fund |
Total
Underwriting
Discounts
and
Commissions |
Compensation
on
Redemptions
and
Repurchases |
Brokerage
Commissions |
Other
Compensation* |
100%
U.S. Treasury Securities Money
Market
Fund |
$— |
$2,882 |
$— |
$7,256,306 |
California
Municipal Money Market
Fund |
— |
— |
— |
39,544 |
Federal
Money Market Fund |
— |
3,749 |
— |
227,936 |
New
York Municipal Money Market
Fund |
— |
— |
— |
63,206 |
Prime
Money Market Fund |
— |
— |
— |
8,209 |
Tax
Free Money Market Fund |
— |
1,042 |
— |
1,793,782 |
Liquid
Assets Money Market Fund |
1,603 |
6,873 |
— |
4,723,129 |
Municipal
Money Market Fund |
— |
— |
— |
95,052 |
U.S.
Government Money Market
Fund |
— |
6,670 |
— |
14,799,628 |
U.S.
Treasury Plus Money Market
Fund |
25 |
1,369 |
— |
5,563,435 |
Institutional
Tax Free Money Market
Fund |
— |
— |
— |
— |
Securities
Lending Money Market
Fund |
— |
— |
— |
— |
Fund |
Fiscal
Period Ended February 29, | ||
2022 |
2023 |
2024 | |
Prime
Money Market Fund |
$— |
$— |
$— |
Liquid
Assets Money Market Fund |
1,235 |
6,120 |
1,603 |
U.S.
Government Money Market Fund |
1,450 |
2,745 |
— |
U.S.
Treasury Plus Money Market Fund |
— |
2,518 |
25 |
Federal
Money Market Fund |
— |
999 |
— |
100%
U.S. Treasury Securities Money Market Fund |
— |
1,934 |
— |
Tax
Free Money Market Fund |
— |
3,263 |
— |
Fund |
Fiscal
Period Ended February 29, | ||
2022 |
2023 |
2024 | |
Municipal
Money Market Fund |
$— |
$— |
$— |
California
Municipal Money Market Fund |
— |
— |
— |
New
York Municipal Money Market Fund |
— |
— |
— |
Institutional
Tax Free Money Market Fund |
— |
— |
— |
Securities
Lending Money Market Fund |
— |
— |
— |
|
Fiscal
Year Ended | |||||
|
February
28, 2022 |
February
28, 2023 |
February
29, 2024 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived |
Prime
Money Market Fund | ||||||
Reserve
Shares |
$— |
$(4) |
$9 |
$(2) |
$8 |
$— |
100%
U.S. Treasury Securities Money Market Fund | ||||||
Morgan
Shares |
— |
(2,232) |
1,584 |
(369) |
3,783 |
— |
Reserve
Shares |
— |
(8,242) |
4,252 |
(1,405) |
3,473 |
— |
Federal
Money Market Fund | ||||||
Morgan
Shares |
— |
(50) |
69 |
(10) |
228 |
— |
U.S.
Government Money Market Fund | ||||||
Morgan
Shares |
— |
(2,102) |
2,072 |
(355) |
6,428 |
— |
Reserve
Shares |
— |
(10,146) |
8,215 |
(3,142) |
6,033 |
— |
Service
Shares |
—* |
(2,752) |
1,860 |
(495) |
1,675 |
— |
U.S.
Treasury Plus Money Market Fund | ||||||
Morgan
Shares |
— |
(480) |
569 |
(74) |
2,825 |
— |
Reserve
Shares |
— |
(264) |
2,445 |
(611) |
2,738 |
— |
California
Municipal Money Market Fund | ||||||
Morgan
Shares |
— |
(4) |
5 |
(1) |
8 |
— |
Service
Shares |
— |
(64) |
35 |
(16) |
32 |
— |
Liquid
Assets Money Market Fund | ||||||
Morgan
Shares |
— |
(539) |
694 |
(74) |
4,667 |
— |
Reserve
Shares |
— |
(11) |
172 |
(26) |
56 |
— |
Municipal
Money Market Fund | ||||||
Morgan
Shares |
— |
(31) |
29 |
(4) |
53 |
— |
Service
Shares |
— |
(141) |
67 |
(28) |
42 |
— |
New
York Municipal Money Market Fund | ||||||
Morgan
Shares |
— |
(54) |
38 |
(9) |
54 |
— |
Reserve
Shares |
— |
(5) |
4 |
(1) |
2 |
— |
Service
Shares |
— |
(18) |
9 |
(4) |
7 |
— |
Tax
Free Money Market Fund | ||||||
Morgan
Shares |
— |
(19) |
23 |
(3) |
59 |
— |
Reserve
Shares |
10 |
(4,278) |
2,519 |
(743) |
1,735 |
— |
Academy |
up
to 0.05% |
Capital |
up
to 0.05% |
Empower |
up
to 0.05% |
Institutional
Class |
up
to 0.10% |
Agency |
up
to 0.15% |
Premier,
Service, Reserve and |
|
Morgan
and Investor |
up
to 0.35%* |
Agency
SL |
None |
IM |
None |
|
Fiscal
Year Ended | |||||
|
February
28, 2022 |
February
28, 2023 |
February
29, 2024 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived |
Institutional
Tax Free Money Market Fund | ||||||
Institutional
Class Shares |
$283 |
$(202) |
$247 |
$(206) |
$239 |
$(164) |
Capital
Class Shares |
33 |
(43) |
54 |
(75) |
85 |
(74) |
Agency
Class Shares |
—* |
(27) |
40 |
(46) |
104 |
(60) |
Prime
Money Market Fund | ||||||
Capital
Shares |
20,596 |
(2,378) |
14,922 |
(2,544) |
18,795 |
(734) |
Morgan
Shares |
3,744 |
— |
4,142 |
— |
11,043 |
— |
Premier
Shares |
3,343 |
— |
4,000 |
(3) |
8,266 |
— |
Agency
Shares |
1,745 |
(355) |
2,260 |
(498) |
4,058 |
(492) |
Institutional
Class Shares |
12,117 |
(3,696) |
8,944 |
(3,053) |
13,737 |
(2,454) |
Reserve
Shares |
1 |
(4) |
— |
(10) |
— |
(10) |
Academy
Shares |
469 |
(69) |
305 |
(59) |
372 |
(22) |
Empower
Shares |
54 |
(34) |
153 |
(44) |
182 |
(16) |
100%
U.S. Treasury Securities Money Market Fund | ||||||
Capital
Shares |
28,392 |
(3,091) |
21,468 |
(3,367) |
35,486 |
(3,149) |
Morgan
Shares |
7,801 |
(13) |
6,778 |
(58) |
13,137 |
(104) |
Premier
Shares |
5,893 |
— |
8,117 |
— |
34,735 |
(86) |
Agency
Shares |
4,615 |
(826) |
4,812 |
(949) |
13,415 |
(2,073) |
Institutional
Class Shares |
18,330 |
(5,469) |
17,946 |
(5,900) |
34,023 |
(8,475) |
Reserve
Shares |
9,890 |
— |
6,788 |
— |
4,163 |
(5) |
Academy
Shares |
44 |
(6) |
63 |
(13) |
64 |
(5) |
Empower
Shares |
136 |
(15) |
32 |
(7) |
262 |
(29) |
Federal
Money Market Fund | ||||||
Morgan
Shares |
155 |
(21) |
258 |
(20) |
785 |
(13) |
Premier
Shares |
398 |
— |
923 |
— |
5,223 |
— |
Agency
Shares |
238 |
(72) |
232 |
(72) |
933 |
(179) |
Institutional
Class Shares |
1,144 |
(608) |
894 |
(499) |
3,152 |
(1,016) |
Capital
Shares1
|
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
U.S.
Government Money Market Fund | ||||||
Morgan
Shares |
7,325 |
(32) |
8,394 |
(100) |
22,482 |
(23) |
Premier
Shares |
17,293 |
(18) |
20,224 |
(6) |
32,384 |
— |
Agency
Shares |
18,221 |
(3,244) |
12,300 |
(2,393) |
17,448 |
(2,322) |
Institutional
Class Shares |
22,571 |
(6,691) |
23,337 |
(7,681) |
29,888 |
(6,377) |
Reserve
Shares |
12,158 |
(17) |
13,628 |
(3) |
7,241 |
— |
Service
Shares |
1,376 |
— |
1,178 |
— |
838 |
— |
Capital
Shares |
71,503 |
(8,509) |
65,747 |
(10,377) |
74,973 |
(3,177) |
Investor
Class Shares |
6,949 |
— |
8,801 |
— |
7,518 |
— |
Academy
Shares |
3,408 |
(430) |
3,709 |
(603) |
4,375 |
(162) |
Empower
Shares |
1,230 |
(171) |
2,202 |
(391) |
4,703 |
(207) |
|
Fiscal
Year Ended | |||||
|
February
28, 2022 |
February
28, 2023 |
February
29, 2024 | |||
Fund |
Paid |
Waived |
Paid |
Waived |
Paid |
Waived |
U.S.
Treasury Plus Money Market Fund | ||||||
Morgan
Shares |
$1,669 |
$(10) |
$2,215 |
$(36) |
$9,853 |
$(35) |
Capital
Shares |
5,447 |
(703) |
4,695 |
(901) |
7,513 |
(555) |
Premier
Shares |
5,597 |
— |
6,650 |
— |
12,807 |
— |
Agency
Shares |
1,768 |
(349) |
1,319 |
(287) |
2,809 |
(446) |
Institutional
Class Shares |
6,948 |
(2,321) |
5,305 |
(1,943) |
8,089 |
(2,054) |
Reserve
Shares |
317 |
— |
575 |
(630) |
3,286 |
— |
Investor
Class Shares |
62 |
— |
57 |
— |
56 |
— |
Academy
Shares |
14 |
(2) |
55 |
(12) |
291 |
(28) |
Empower
Shares |
149 |
(21) |
70 |
(20) |
133 |
(14) |
California
Municipal Money Market Fund | ||||||
Morgan
Shares |
14 |
(2) |
17 |
(4) |
27 |
(2) |
Premier
Shares |
347 |
(3) |
501 |
(5) |
517 |
(1) |
Service
Shares |
32 |
— |
25 |
— |
16 |
— |
Agency
Shares |
6 |
(2) |
73 |
(27) |
58 |
(23) |
Institutional
Class Shares |
65 |
(43) |
143 |
(97) |
152 |
(110) |
Liquid
Assets Money Market Fund | ||||||
Morgan
Shares |
1,793 |
(93) |
2,593 |
(97) |
16,129 |
(206) |
Premier
Shares |
5,521 |
(28) |
13,257 |
(71) |
59,648 |
(36) |
Agency
Shares |
1,057 |
(317) |
1,638 |
(434) |
4,426 |
(998) |
Institutional
Class Shares |
1,424 |
(769) |
2,829 |
(1,289) |
6,924 |
(2,660) |
Reserve
Shares |
13 |
—* |
36 |
(44) |
67 |
— |
Investor
Class Shares |
11 |
— |
8 |
— |
41 |
— |
Capital
Shares |
957 |
(382) |
1,388 |
(468) |
5,088 |
(1,139) |
Municipal
Money Market Fund | ||||||
Morgan
Shares |
104 |
(6) |
111 |
(5) |
180 |
(5) |
Premier
Shares |
161 |
—* |
276 |
— |
861 |
— |
Agency
Shares |
49 |
(18) |
110 |
(36) |
174 |
(44) |
Institutional
Class Shares |
491 |
(310) |
554 |
(336) |
775 |
(319) |
Service
Shares |
70 |
— |
48 |
— |
21 |
— |
New
York Municipal Money Market Fund | ||||||
Morgan
Shares |
164 |
(24) |
148 |
(16) |
170 |
(18) |
Premier
Shares |
289 |
(2) |
702 |
(2) |
1,415 |
— |
Reserve
Shares |
6 |
—* |
6 |
— |
2 |
(1) |
Service
Shares |
9 |
— |
7 |
— |
4 |
— |
Institutional
Class Shares |
289 |
(201) |
693 |
(348) |
969 |
(377) |
Agency
Shares |
66 |
(24) |
190 |
(55) |
355 |
(81) |
Tax
Free Money Market Fund | ||||||
Morgan
Shares |
60 |
(6) |
88 |
(4) |
202 |
(4) |
Premier
Shares |
1,183 |
— |
1,823 |
— |
3,267 |
— |
Agency
Shares |
381 |
(86) |
689 |
(149) |
778 |
(108) |
Institutional
Class Shares |
4,173 |
(1,596) |
5,677 |
(2,074) |
6,727 |
(1,506) |
Reserve
Shares |
5,146 |
— |
3,914 |
— |
2,082 |
— |
Fund |
Name
of Broker-Dealer |
Value
of Securities
Owned
(000's) |
Institutional
Tax Free Money Market Fund |
Royal
Bank of Canada |
$53,235 |
Prime
Money Market Fund |
Bank
of America Corp. |
2,429,874 |
|
Barclays
plc |
1,379,739 |
|
Erste
Group Bank AG |
1,339,042 |
|
Fixed
Income Clearing Corp. |
4,000,000 |
|
Goldman
Sachs Group, Inc. (The) |
670,000 |
|
Mizuho
Financial Group, Inc. |
4,013,497 |
|
Societe
Generale SA |
1,730,000 |
|
Wells
Fargo & Co. |
1,103,158 |
Securities
Lending Money Market Fund |
Bank
of America Corp. |
800 |
|
Barclays
plc |
109,984 |
|
Crédit
Agricole Group |
71,478 |
|
Erste
Group Bank AG |
100,000 |
|
Mizuho
Financial Group, Inc. |
79,409 |
|
Pershing
LLC |
10,000 |
|
Royal
Bank of Canada |
16,150 |
U.S.
Government Money Market Fund |
Bank
of America Corp. |
3,450,000 |
|
BNP
Paribas SA |
6,000,000 |
|
Citigroup,
Inc. |
14,100,000 |
|
Daiwa
Capital Markets America,
Inc. |
3,000,000 |
|
Federal
Reserve Bank of New York, |
8,000,000 |
|
Goldman
Sachs Group, Inc. (The) |
28,250,000 |
|
Wells
Fargo & Co. |
5,200,000 |
U.S.
Treasury Plus Money Market Fund |
Bank
of America Corp. |
2,000,000 |
|
Citigroup,
Inc. |
3,650,000 |
|
Federal
Reserve Bank of New York, |
1,000,000 |
|
Fixed
Income Clearing Corp. |
4,150,000 |
|
Goldman
Sachs Group, Inc. (The) |
3,250,000 |
California
Municipal Money Market Fund |
Royal
Bank of Canada |
7,250 |
Liquid
Assets Money Market Fund |
Barclays
plc |
887,888 |
|
Crédit
Agricole Group |
2,187,311 |
|
Erste
Group Bank AG |
1,350,000 |
|
Fixed
Income Clearing Corp. |
4,000,000 |
|
Mizuho
Financial Group, Inc. |
3,005,309 |
Municipal
Money Market Fund |
Royal
Bank of Canada |
13,800 |
Tax
Free Money Market Fund |
Royal
Bank of Canada |
598,585 |
|
Capital
Loss Carryforward
Character | |
Fund |
Short-Term |
Long-Term |
Prime
Money Market Fund |
$6,181 |
$— |
Securities
Lending Money Market Fund |
115 |
— |
100%
U.S. Treasury Securities Money Market Fund |
5,540 |
— |
U.S.
Government Money Market Fund |
72,182 |
1,088 |
U.S.
Treasury Plus Money Market Fund |
2,878 |
121 |
Liquid
Assets Money Market Fund |
27 |
— |
All
Funds |
|
| |
Bloomberg
LP |
Monthly |
30
days after month end | |
Factset |
Monthly |
30
days after month end | |
JPMorgan
Chase & Co. |
Monthly |
At
least on a 1 day lag | |
Morningstar
Inc. |
Monthly |
30
days after month end | |
Lipper,
Inc. |
Monthly |
30
days after month end | |
Vickers
Stock Research Corp. |
Monthly |
30
days after month end | |
The
McGraw Hill Companies — Standard & Poor’s
Corporation |
Monthly |
30
days after month end | |
100%
U.S. Treasury Securities Money Market Fund |
|
| |
Verisign |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Moody’s |
Daily |
At
least on a 1 day lag | |
Bridgewater |
Daily |
At
least on a 1 day lag | |
Bank
of New York |
Monthly |
At
least on a 1 day lag | |
Square
1 Bank |
Monthly |
At
least on a 1 day lag | |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag | |
Diamond
Hill |
Weekly |
At
least on a 1 day lag | |
Crane
Data |
Weekly |
At
least on a 1 day lag | |
HP |
Weekly |
At
least on a 1 day lag | |
Teledyne
Technologies |
Quarterly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag | |
Federal
Money Market Fund |
|
| |
Verisign |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Moody’s |
Daily |
At
least on a 1 day lag | |
Bank
of New York |
Monthly |
At
least on a 1 day lag | |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag | |
Crane
Data |
Weekly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag | |
Liquid
Assets Money Market Fund |
|
| |
Verisign |
Daily |
At
least on a 1 day lag | |
Mizuho
Securities USA Inc. |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Bank
of New York |
Monthly |
At
least on a 1 day lag | |
Union
Bank of California |
Monthly |
At
least on a 1 day lag | |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag |
All
Funds |
|
| |
Crane
Data |
Weekly |
At
least on a 1 day lag | |
Chicago
Mercantile Exchange |
Monthly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag | |
Municipal
Money Market Fund |
|
| |
Verisign |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag | |
Crane
Data |
Weekly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag | |
Prime
Money Market Fund |
|
| |
Verisign |
Daily |
At
least on a 1 day lag | |
Morgan
Stanley Smith Barney |
Daily |
At
least on a 1 day lag | |
Best
Buy |
Daily |
At
least on a 1 day lag | |
Mizuho
Securities USA Inc. |
Daily |
At
least on a 1 day lag | |
Sovereign |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Moody’s |
Daily |
At
least on a 1 day lag | |
ABS
Investment Management |
Monthly |
At
least on a 1 day lag | |
Atlas
Air |
Monthly |
At
least on a 1 day lag | |
Bank
of New York |
Monthly |
At
least on a 1 day lag | |
BP |
Monthly |
At
least on a 1 day lag | |
Commonfund
Securities |
Monthly |
At
least on a 1 day lag | |
Ernst
& Young |
Monthly |
At
least on a 1 day lag | |
GE
Asset Management |
Monthly |
At
least on a 1 day lag | |
Koch
Industries |
Monthly |
At
least on a 1 day lag | |
KPMG |
Monthly |
At
least on a 1 day lag | |
Lear |
Monthly |
At
least on a 1 day lag | |
Lockheed
Martin |
Monthly |
At
least on a 1 day lag | |
Mercer |
Monthly |
At
least on a 1 day lag | |
Newedge |
Monthly |
At
least on a 1 day lag | |
Ohio
Bureau of Worker’s Compensation |
Monthly |
At
least on a 1 day lag | |
Pennsylvania
State University |
Monthly |
At
least on a 1 day lag | |
SVB |
Monthly |
At
least on a 1 day lag | |
Texas
Treasury Safekeeping Trust Co. |
Monthly |
At
least on a 1 day lag | |
Union
Bank of California |
Monthly |
At
least on a 1 day lag | |
West
Virginia Board of Treasury Investments |
Monthly |
At
least on a 1 day lag | |
IBM |
Weekly |
At
least on a 1 day lag | |
Diamond
Hill |
Weekly |
At
least on a 1 day lag | |
Stanford
University |
Weekly |
At
least on a 1 day lag | |
CBS
Corp |
Weekly |
At
least on a 1 day lag | |
AmerisourceBergen |
Weekly |
At
least on a 1 day lag | |
Chicago
Mercantile Exchange |
Monthly |
At
least on a 1 day lag | |
Crane
Data |
Weekly |
At
least on a 1 day lag | |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag | |
Atlas
Air |
Weekly |
At
least on a 1 day lag | |
Bank
of America |
Weekly |
At
least on a 1 day lag | |
MFS
Asset Management |
Weekly |
At
least on a 1 day lag | |
Newstar
Financial |
Weekly |
At
least on a 1 day lag | |
Texas
Treasury Safekeeping |
Weekly |
At
least on a 1 day lag | |
Square
1 Bank |
Monthly |
At
least on a 1 day lag | |
Fitch |
Monthly |
At
least on a 1 day lag | |
Grande |
Monthly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag | |
Tax
Free Money Market Fund |
|
| |
Verisign |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Moody’s |
Daily |
At
least on a 1 day lag | |
Bank
of New York |
Monthly |
At
least on a 1 day lag | |
Square
1 Bank |
Monthly |
At
least on a 1 day lag | |
SVB |
Monthly |
At
least on a 1 day lag | |
Crane
Data |
Weekly |
At
least on a 1 day lag |
All
Funds |
|
| |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag | |
U.S.
Government Money Market Fund |
|
| |
Common
fund |
Weekly |
At
least on a 1 day lag | |
Texas
Treasury Safekeeping Trust Co. |
Weekly |
At
least on a 1 day lag | |
Texas
County & District Retirement System |
Daily |
At
least on a 1 day lag | |
International
paper |
Daily |
At
least on a 1 day lag | |
Verisign |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Johnson
County Kansas Government |
Daily |
At
least on a 1 day lag | |
Moody’s |
Daily |
At
least on a 1 day lag | |
Bank
of New York |
Monthly |
At
least on a 1 day lag | |
Ohio
Bureau of Worker’s Compensation |
Monthly |
At
least on a 1 day lag | |
Atlas
Air |
Monthly |
At
least on a 1 day lag | |
Square
1 Bank |
Monthly |
At
least on a 1 day lag | |
SVB |
Monthly |
At
least on a 1 day lag | |
Treasury
Partners |
Monthly |
At
least on a 1 day lag | |
Union
Bank of California |
Monthly |
At
least on a 1 day lag | |
Atlas
Air |
Weekly |
At
least on a 1 day lag | |
Crane
Data |
Weekly |
At
least on a 1 day lag | |
HP |
Weekly |
At
least on a 1 day lag | |
IBM |
Weekly |
At
least on a 1 day lag | |
Diamond
Hill |
Weekly |
At
least on a 1 day lag | |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag | |
Fitch |
Monthly |
At
least on a 1 day lag | |
Grande |
Monthly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag | |
U.S.
Treasury Plus Money Market Fund |
|
| |
International
Paper |
Daily |
At
least on a 1 day lag | |
Verisign |
Daily |
At
least on a 1 day lag | |
Fidelity
Investments Institutional Services Company, Inc. |
Daily |
At
least on a 1 day lag | |
Moody’s |
Daily |
At
least on a 1 day lag | |
Bank
of New York |
Monthly |
At
least on a 1 day lag | |
SVB |
Monthly |
At
least on a 1 day lag | |
Crane
Data |
Weekly |
At
least on a 1 day lag | |
HP |
Weekly |
At
least on a 1 day lag | |
Institutional
Cash Distributors |
Weekly |
At
least on a 1 day lag | |
Commonfund |
Monthly |
At
least on a 1 day lag | |
Square
1 Bank |
Monthly |
At
least on a 1 day lag | |
JPMorgan
Chase & Co. |
Weekly |
At
least on a 1 day lag |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
JPMORGAN
PRIME MONEY MARKET FUND | ||
ACADEMY
SHARES |
OFFICE
OF THE ILLINOIS TREASURER
1
E OLD STATE CAPITOL PLZ
SPRINGFIELD
IL 62701-1320 |
63.31% |
|
|
|
|
ONEMAIN
GENERAL SERVICES
CORPORATION
PO
BOX 59
EVANSVILLE
IN 47701-0059 |
34.25% |
|
|
|
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
35.32% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
21.14% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:
LIQUIDITY OPERATIONS
10410
HIGHLAND MANOR DR FL 3
TAMPA
FL 33610-9128 |
17.02% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
5.48% |
|
|
|
CAPITAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
22.60% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
13.45% |
|
|
|
|
HARE
& CO # 2
ATTN
STIF OPERATIONS
PO
BOX 223910
PITTSBURGH
PA 15251-2910 |
7.25% |
|
|
|
|
BOARD
OF REGENTS OF THE
UNIVERSITY
OF TEXAS SYSTEM STF
ATTN
J RUSSELL KAMPFE
210
W 7TH ST STE 1700
AUSTIN
TX 78701-2903 |
5.76% |
|
|
|
EMPOWER
SHARES |
DELTA
MASTER TRUST
1030
DELTA BLVD DEPT 369
ATLANTA
GA 30354-1989 |
24.10% |
|
|
|
|
SERVICENOW,
INC.
ATTN
TREASURY
2215
LAWSON LN
SANTA
CLARA CA 95054-3311 |
11.93% |
|
|
|
|
JPMS
- CHASE PROCESSING*
JPMS
IB
FBO
FOOD LION LLC
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
11.36% |
|
|
|
|
JPMS
- CHASE PROCESSING*
JPMS
IB
FBO
GIANT OF MARYLAND LLC
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
11.27% |
|
|
|
|
JPMS
- CHASE PROCESSING*
JPMS
IB
FBO
THE BOSTON CONSULTING GROUP
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
11.24% |
|
|
|
|
JPMS
- CHASE PROCESSING*
JPMS
IB
FBO
THE BOSTON CONSULTING GROUP
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
11.24% |
|
|
|
|
ONEMAIN
GENERAL SERVICES
CORPORATION
PO
BOX 59
EVANSVILLE
IN 47701-0059 |
5.94% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
IM
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
WSS
SWEEP OMNIBUS ACCOUNT
10410
HIGHLAND MANOR DR FLOOR3
TAMPA
FL 33610-9128 |
83.34% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
JPM
INDY SWEEP NON DISCLOSED ACCT
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
14.61% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
JPM
INDY SWEEP NON DISCLOSED ACCT
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
29.56% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
29.54% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
11.95% |
|
|
|
MORGAN
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
87.98% |
|
|
|
PREMIER
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
81.06% |
|
|
|
RESERVE
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
72.03% |
|
|
|
|
JPMS
LLC - CHASE PROCESSING*
JPMCC
IB
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
8.69% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
JPMORGAN
100% U.S. TREASURY SECURITIES MONEY MARKET FUND | ||
ACADEMY
SHARES |
DOLLAR
GENERAL
ATTN
BETHANY MALAKELIS
100
MISSION RDG
GOODLETTSVILLE
TN 37072-2171 |
56.81% |
|
|
|
|
BOFA
SECURITIES INC FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
200
N COLLEGE ST FL 3
NCI-004-03-06
CHARLOTTE
NC 28202-2191 |
24.25% |
|
|
|
|
JPMS
LLC - CHASE PROCESSING*
JPMS
LLC IB
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
18.94% |
|
|
|
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
53.03% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
10.09% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DR FL 03
TAMPA
FL 33610-9128 |
7.84% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
5.40% |
|
|
|
CAPITAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
44.39% |
|
|
|
|
HARE
& CO 2B
ATTN
STIF OPERATIONS
PO
BOX 223910
PITTSBURGH
PA 15251-2910 |
10.62% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
6.77% |
|
|
|
EMPOWER
SHARES |
BRIDGEWATER
ASSOCIATES, LP
1
NYALA FARMS RD
WESTPORT
CT 06880-6256 |
30.39% |
|
|
|
|
WELLS
FARGO BANK FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMERS
1525
W W T HARRIS BLVD
CHARLOTTE
NC 28262-8522 |
10.57% |
|
|
|
|
SUNLEY
HOUSE LP III-GPE VIII
LIMITED
PARTNERSHIP
800
BOYLSTON ST
BOSTON
MA 02199-1900 |
7.53% |
|
|
|
|
CITY
OF ATLANTA,GARB SERIES 2023B-1
US
BANK ACTING AS CUSTODIAN
68
MITCHELL STREET
SUITE
6100
ATLANTA
GA 30303 |
6.27% |
|
|
|
|
SUNLEY
HOUSE LP III GPE VII
ADVENT
INTERNATIONAL CORPORATION
PRUDENTIAL
TOWER
800
BOYLSTON ST
BOSTON
MA 02199-1900 |
5.65% |
|
|
|
IM
SHARES |
RC
WOODLEY PARK, LP
1133
CONNECTICUT AVE NW STE 810
WASHINGTON
DC 20036-4383 |
16.72% |
|
|
|
|
MOZARKITE
EMERGING MARKETS FUND
LP
LIMITED
PARTNERSHIP
1133
CONNECTICUT AVE NW STE 810
WASHINGTON
DC 20036-4383 |
12.13% |
|
|
|
|
KALORAMA
SPECIAL PRODUCTS FUND
SPC
LTD - SEPARATE ACCOUNT
CANTILLON
1133
CONNECTICUT AVE NW STE 810
WASHINGTON
DC 20036-4383 |
9.71% |
|
|
|
|
ABS
OFFSHORE SPC - GLOBAL
SEGREGATED
PORTFOLIO
ATTN
ABS INV MGMT LLC
537
STEAMBOAT RD
GREENWICH
CT 06830-7153 |
8.58% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
ABS
ALPHA LTD - GLOBAL EQUITY
PORTFOLIO
ATTN
ABS INV MGMT LLC
537
STEAMBOAT RD
GREENWICH
CT 06830-7153 |
7.42% |
|
|
|
|
BAINUM
FAMILY FOUNDATION
1133
CONNECTICUT AVE NW STE 810
WASHINGTON
DC 20036-4383 |
6.02% |
|
|
|
|
KALORAMA
SPECIAL PRODUCTS FUND
SPC
LTD
- SEPARATE ACCOUNT ICHIGO
1133
CONNECTICUT AVE NW STE 810
WASHINGTON
DC 20036-4383 |
5.42% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
52.80% |
|
|
|
|
KINGSLEY
& CO/JPM ASSET SWEEP*
FUND
OMNIBUS ACCOUNT
ATTN
SPECIAL PRODUCTS
2
OPS/3
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
18.44% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
8.40% |
|
|
|
MORGAN
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
65.15% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
16.66% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
6.98% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
PREMIER
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
55.19% |
|
|
|
|
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
28.65% |
|
|
|
RESERVE
SHARES |
JPMSI
AS AGENT FOR KINGSLEY AND CO*
FUND
OMNIBUS ACCOUNT
ATTN
SPECIAL PRODUCTS
2
OPS/3
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
98.27% |
JPMORGAN
FEDERAL MONEY MARKET FUND | ||
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
78.32% |
|
|
|
|
HARE
& CO # 2
ATTN
STIF OPERATIONS
PO
BOX 223910
PITTSBURGH
PA 15251-2910 |
7.90% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
57.55% |
|
|
|
|
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ATTN
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1100 |
15.37% |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
ATTN
MUTUAL FUNDS DEPT 4TH FL
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
5.21% |
|
|
|
MORGAN
SHARES |
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
66.52% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
EDWARD
D JONES & CO
FOR
THE BENEFIT OF CUSTOMERS
12555
MANCHESTER RD
SAINT
LOUIS MO 63131-3710 |
13.24% |
|
|
|
|
RBC
CAPITAL MARKETS LLC
MUTUAL
FUND OMNIBUS PROCESSING
OMNIBUS
ATTN
MUTUAL FUND OPS MANAGER
250
NICOLLET MALL SUITE 1400
MINNEAPOLIS
MN 55401-7582 |
5.71% |
|
|
|
|
PERSHING
LLC
P.O.
BOX 2052
JERSEY
CITY NJ 07303-2052 |
5.69% |
|
|
|
PREMIER
SHARES |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
57.02% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
33.39% |
JPMORGAN
CALIFORNIA MUNICIPAL MONEY MARKET FUND | ||
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
75.23% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
12.67% |
|
|
|
|
JPMS
LLC - CHASE PROCESSING*
JPMS
LLC IB
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
12.10% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
81.67% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENEFIT OF
CUSTOMERS
OF MSSB
1
NEW YORK PLAZA 12TH FLOOR
NEW
YORK NY 10004-1965 |
15.66% |
|
|
|
MORGAN
SHARES |
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
83.79% |
|
|
|
|
JPMS
LLC - CHASE PROCESSING*
JPMS
LLC IB
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
6.71% |
|
|
|
PREMIER
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
50.84% |
|
|
|
|
FIDUCIARY
TRUST REVENUE
ATTN:
BANK OPERATIONS
280
PARK AVE FL 6TH
NEW
YORK NY 10017-1274 |
23.72% |
|
|
|
|
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
14.72% |
|
|
|
|
FIDUCIARY
TRUST
ATTN:
BANK OPERATIONS
280
PARK AVE FL 6TH
NEW
YORK NY 10017-1216 |
5.74% |
|
|
|
SERVICE
SHARES |
LPL
FINANCIAL LLC AS AGENT FOR
AND
EXCLUSIVE BENEFIT FOR IT'S
CUSTOMERS
ATTN
KRISTIN KENNEDY
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
100.00% |
JPMORGAN
NEW YORK MUNICIPAL MONEY MARKET FUND | ||
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
98.29% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
95.29% |
|
|
|
MORGAN
SHARES |
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
29.35% |
|
|
|
|
GLORIA
VISELTEAR-REISS
170
E 79TH ST APT 6B
NEW
YORK NY 10075-0568 |
8.96% |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
ATTN
MUTUAL FUNDS DEPT 4TH FL
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
7.14% |
|
|
|
|
ESTATE
OF RUTH PERES
SHLOMO
ARJE EXEC
2514
E 66TH ST
BROOKLYN
NY 11234-6923 |
5.42% |
|
|
|
PREMIER
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
86.61% |
|
|
|
|
FIDUCIARY
TRUST REVENUE
ATTN:
BANK OPERATIONS
280
PARK AVE FL 6TH
NEW
YORK NY 10017-1274 |
9.54% |
|
|
|
RESERVE
SHARES |
INGALLS
& SNYDER LLC AS AGENT
OMNIBUS
A/C FOR EXCLUSIVE BENEFIT
OF
CUSTOMERS
ATTN:
JOSEPH DIBUONO
1325
AVENUE OF THE AMERICAS FL 18
NEW
YORK NY 10019-2872 |
99.41% |
|
|
|
SERVICE
SHARES |
LPL
FINANCIAL LLC AS AGENT FOR
AND
EXCLUSIVE BENEFIT FOR IT'S
CUSTOMERS
ATTN
KRISTIN KENNEDY
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
100.00% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
JPMORGAN
TAX FREE MONEY MARKET FUND | ||
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
84.19% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
6.75% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
56.26% |
|
|
|
|
KINGSLEY
& CO/JPM ASSET SWEEP*
FUND
OMNIBUS ACCOUNT
ATTN
SPECIAL PRODUCTS
2
OPS/3
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
36.16% |
|
|
|
MORGAN
SHARES |
J.P.
MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
35.45% |
|
|
|
|
EDWARD
D JONES & CO
FOR
THE BENEFIT OF CUSTOMERS
12555
MANCHESTER RD
SAINT
LOUIS MO 63131-3710 |
25.79% |
|
|
|
PREMIER
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
52.88% |
|
|
|
|
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
39.54% |
|
|
|
RESERVE
SHARES |
JPMSI
AS AGENT FOR KINGSLEY AND CO*
FUND
OMNIBUS ACCOUNT
ATTN
SPECIAL PRODUCTS
2
OPS/3
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
93.19% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
BEAR
STEARNS & CO INC*
ATTN
DENISE DILORENZO SIEGEL
1
METROTECH CTR N
BROOKLYN
NY 11201-3832 |
6.79% |
JPMORGAN
U.S. GOVERNMENT MONEY MARKET FUND | ||
ACADEMY
SHARES |
STATE
OF MARYLAND
TREASURERS
OFFICE
ATTN
KEITH MORRIS CIO
80
CALVERT ST
ANNAPOLIS
MD 21401-1931 |
31.42% |
|
|
|
|
META
PLATFORMS INC
ATTN
ALBERT HUANG
1601
WILLOW PARK
MENLO
PARK CA 94025-1452 |
14.85% |
|
|
|
|
VISA
INC
ATTN
TREASURYCASHMGMT VISA.COM
900
METRO CENTER BLVD
FOSTER
CITY CA 94404-2775 |
11.63% |
|
|
|
AGENCY
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
29.31% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
ITSELF AND CUSTOMERS
ATTN:
LIQUIDITY OPERATIONS
10410
HIGHLAND MANOR DR FL 3
TAMPA
FL 33610-9128 |
12.63% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
JPM
INDY SWEEP NON DISCLOSED ACCT
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
11.11% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
9.66% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
7.32% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
CAPITAL
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
17.54% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
JPM
INDY SWEEP NON DISCLOSED ACCT
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
12.31% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
6.56% |
|
|
|
EMPOWER
SHARES |
PFIZER
INC
ATTN
TREASURY OPERATIONS
235
E 42ND ST
NEW
YORK NY 10017-5703 |
18.70% |
|
|
|
|
PT
FREEPORT INDONESIA
PO
BOX 61119
NEW
ORLEANS LA 70161-1119 |
12.13% |
|
|
|
|
GOOGLE
LLC
1600
AMPHITHEATRE PKWY
MOUNTAIN
VIEW CA 94043-1351 |
6.40% |
|
|
|
|
TOYOTA
MOTOR CREDIT CO
6565
HEADQUARTERS DR
PLANO
TX 75024-5965 |
5.54% |
|
|
|
IM
SHARES |
COMPUTERSHARE
TRUST COMPANY
NA
FBO CCT CLIENTS
250
ROYALL ST
CANTON
MA 02021-1058 |
40.29% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
WSS
SWEEP OMNIBUS ACCOUNT
10410
HIGHLAND MANOR DR FL 3
TAMPA
FL 33610-9128 |
35.29% |
|
|
|
|
BAND
& CO C/O US BANK
ATTN
ALLISON SCHMIDT
MUTUAL
FUND REVENUE
1555
N RIVERCENTER DR STE 302
MILWAUKEE
WI 53212-3958 |
6.14% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
ATTN:
NICK CIFELLI
4
CHASE METROTECH CENTER, FLOOR 3
BROOKLYN
NY 11245-0003 |
5.23% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
20.09% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
12.64% |
|
|
|
|
KINGSLEY
& CO/JPM ASSET SWEEP*
FUND
OMNIBUS ACCOUNT
ATTN
SPECIAL PRODUCTS
2
OPS/3
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
12.48% |
|
|
|
|
HARE
& CO # 2
ATTN
STIF OPERATIONS
PO
BOX 223910
PITTSBURGH
PA 15251-2910 |
10.77% |
|
|
|
INVESTOR
SHARES |
LPL
FINANCIAL LLC AS AGENT FOR
AND
EXCLUSIVE BENEFIT FOR IT'S
CUSTOMERS
ATTN
KRISTIN KENNEDY
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
99.81% |
|
|
|
MORGAN
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
66.93% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
23.67% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
PREMIER
SHARES |
KINGSLEY
& CO/JPM ASSET SWEEP*
FUND
OMNIBUS ACCOUNT
ATTN
SPECIAL PRODUCTS
2
OPS/3
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
51.32% |
|
|
|
|
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
19.23% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
10.68% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
7.09% |
|
|
|
RESERVE
SHARES |
EMPOWER
TRUST FBO
EMPOWER
BENEFIT PLANS
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
19.27% |
|
|
|
|
THE
HARTFORD
1
HARTFORD PLZ
HARTFORD
CT 06155-0001 |
17.55% |
|
|
|
|
ASCENSUS
TRUST COMPANY FBO
AIR
FRAME MFG & SUPPLY CO SAL RED P
PO
BOX 10758
FARGO
ND 58106-0758 |
9.27% |
|
|
|
|
EMPOWER
TRUST FBO
PERRY
HAY & CHU PSP
8515
E ORCHARD RD # 2T2
GREENWOOD
VLG CO 80111-5002 |
6.30% |
|
|
|
|
EMPOWER
TRUST FBO
RECORDKEEPING
FOR EMPLOYEE
BENEFITS
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
5.69% |
|
|
|
|
EMPOWER
TRUST FBO
NORTHEAST
ORL & MXLLFCL SURG 401K P
8515
E ORCHARD RD # 2T2
GREENWOOD
VLG CO 80111-5002 |
5.11% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
SERVICE
SHARES |
LPL
FINANCIAL LLC AS AGENT FOR
AND
EXCLUSIVE BENEFIT FOR IT'S
CUSTOMERS
ATTN
KRISTIN KENNEDY
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
53.73% |
|
|
|
|
THE
HARTFORD
1
HARTFORD PLZ
HARTFORD
CT 06155-0001 |
36.82% |
|
|
|
|
EMPOWER
TRUST FBO
EMPOWER
BENEFIT GRAND FATHERED
PLAN
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
5.44% |
JPMORGAN
U.S. TREASURY PLUS MONEY MARKET FUND | ||
ACADEMY
SHARES |
GE
FUNDING OPERATIONS CO INC
901
MAIN AVE
NORWALK
CT 06851-1168 |
54.75% |
|
|
|
|
GE
TREASURY SERVICES INDUSTRIAL
IRELAND
LIMITED
86-88
LOWER LEESON STREET
DUBLIN
D02 A668 |
34.01% |
|
|
|
|
STATE
OF ARIZONA - POOL 2
ATTN
MICHAEL LESLEIN
1700
W WASHINGTON ST
PHOENIX
AZ 85007-2812 |
7.20% |
|
|
|
AGENCY
SHARES |
JPMORGAN
CHASE BANK, N.A*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE
3RD
FLOOR
TAMPA
FL 33610-9128 |
34.38% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
19.17% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
10.29% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DR FL 03
TAMPA
FL 33610-9128 |
7.36% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
JPM
INDY SWEEP NON DISCLOSED ACCT
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
5.12% |
|
|
|
CAPITAL
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE
3RD
FLOOR
TAMPA
FL 33610-9128 |
14.47% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
ITS CUSTOMERS
WSS
NON-RESTRICTED SWEEP
OMNIBUS
ACCT
10410
HIGHLAND MANOR DR FLOOR 3
TAMPA
FL 33610-9128 |
13.60% |
|
|
|
|
HARE
& CO # 2
ATTN
STIF OPERATIONS
PO
BOX 223910
PITTSBURGH
PA 15251-2910 |
12.18% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
5.16% |
|
|
|
EMPOWER
SHARES |
AMERICAN
CIVIL LIBERTIES UNION
FOUNDATION
MONEY MARKET FUND
125
BROAD ST FL 18
NEW
YORK NY 10004-2427 |
40.93% |
|
|
|
|
BRIDGESTONE
AMERICAS INC
200
4TH AVENUE SOUTH
NASHVILLE
TN 37201-2208 |
37.02% |
|
|
|
|
WALMART
702
SW 8TH ST
BENTONVILLE
AR 72716-6209 |
20.41% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
IM
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
JPM
INDY SWEEP NON DISCLOSED ACCT
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
50.48% |
|
|
|
|
STATE
STREET BANK & TRUST CASH
SWEEP
CLIENTS
ATTN
CASH SWEEP SUPPORT
JOHN
SANTRY JAB N FL 5 0535
1776
HERITAGE DR
QUINCY
MA 02171-2119 |
49.52% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
19.10% |
|
|
|
|
HARE
& CO # 2
ATTN
STIF OPERATIONS
PO
BOX 223910
PITTSBURGH
PA 15251-2910 |
15.67% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
10.55% |
|
|
|
|
CITIBANK
AS AGENT ON BEHALF OF
CLIENTS
ATTN
ANTHONY TUTRONE
388
GREENWICH STREET 7TH FLOOR
NEW
YORK NY 10013-2362 |
8.09% |
|
|
|
|
SPECIAL
CUSTODY A/C FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMERS OF
GS
& CO (RE: CUSTOMERS OF CITI)
71
S WACKER DR STE 500
CHICAGO
IL 60606-4673 |
5.60% |
|
|
|
INVESTOR
SHARES |
HARE
& CO # 2
ATTN
STIF OPERATIONS
PO
BOX 223910
PITTSBURGH
PA 15251-2910 |
85.14% |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
ATTN
MUTUAL FUNDS DEPT 4TH FL
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
14.86% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
MORGAN
SHARES |
JPMORGAN
CHASE BANK, N.A.*
FBO
ITSELF AND ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
JPMORGAN
CHASE BANK NATIONAL
ASSOC
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
70.79% |
|
|
|
|
JPMORGAN
CHASE BANK, N.A.*
FBO
ITS CUSTOMERS
ATTN:LIQUIDITY
OPERATIONS
10410
HIGHLAND MANOR DRIVE FLOOR 03
TAMPA
FL 33610-9128 |
13.44% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
10.37% |
|
|
|
PREMIER
SHARES |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
47.12% |
|
|
|
|
FIDUCIARY
TRUST REVENUE
ATTN:
BANK OPERATIONS
280
PARK AVE FL 6TH
NEW
YORK NY 10017-1274 |
14.30% |
|
|
|
|
FIDUCIARY
TRUST
ATTN:
BANK OPERATIONS
280
PARK AVE FL 6TH
NEW
YORK NY 10017-1216 |
10.15% |
|
|
|
|
UBATCO
AND CO
ATTN
TRUST OPERATIONS
PO
BOX 82529
LINCOLN
NE 68501-2529 |
7.36% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
6.97% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
6.96% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
RESERVE
SHARES |
INGALLS
& SNYDER LLC AS AGENT
OMNIBUS
A/C FOR EXCLUSIVE BENEFIT
OF
CUSTOMERS
ATTN:
JOSEPH DIBUONO
1325
AVENUE OF THE AMERICAS FL 18
NEW
YORK NY 10019-6066 |
68.81% |
|
|
|
|
DELAWARE
TRUST COMPANY
ATTN
ANNE LYONS
251
LITTLE FALLS DR
WILMINGTON
DE 19808-1674 |
26.67% |
JPMORGAN
LIQUID ASSETS MONEY MARKET FUND | ||
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
79.42% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
16.55% |
|
|
|
CAPITAL
SHARES |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ATTN
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1100 |
62.61% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
33.02% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
86.53% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
5.76% |
|
|
|
INVESTOR
SHARES |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
76.55% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
ATTN
MUTUAL FUNDS DEPT 4TH FL
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
7.57% |
|
|
|
MORGAN
SHARES |
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
91.40% |
|
|
|
PREMIER
SHARES |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
66.88% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
21.98% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
9.79% |
|
|
|
RESERVE
SHARES |
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
57.29% |
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
6.66% |
|
|
|
|
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET STREET
ST
LOUIS MO 63103-2523 |
5.11% |
JPMORGAN
MUNICIPAL MONEY MARKET FUND | ||
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
65.21% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
34.51% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
41.77% |
|
|
|
|
JP
MORGAN SECURITIES LLC*
ATTN
DENISE DILORENZO SIEGEL
3
CHASE METROTECH CENTER
BROOKLYN
NY 11245-0001 |
35.40% |
|
|
|
|
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM
ATTN
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1100 |
9.34% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
8.50% |
|
|
|
MORGAN
SHARES |
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
78.61% |
|
|
|
|
RELIANCE
TRUST COMPANY
FBO
METHODIST DAN AUSMAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
6.39% |
|
|
|
PREMIER
SHARES |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
52.95% |
|
|
|
|
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
33.13% |
|
|
|
|
J.
P. MORGAN SECURITIES LLC*
FOR
EXCLUSIVE BENEFIT OF CUSTOMERS
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
12.51% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
SERVICE
SHARES |
LPL
FINANCIAL LLC AS AGENT FOR
AND
EXCLUSIVE BENEFIT FOR IT'S
CUSTOMERS
ATTN
KRISTIN KENNEDY
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
100.00% |
JPMORGAN
INSTITUTIONAL TAX FREE MONEY MARKET FUND | ||
AGENCY
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
85.36% |
|
|
|
|
JPMS
LLC - CHASE PROCESSING*
JPMS
LLC IB
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
7.32% |
|
|
|
|
JPMS
LLC - CHASE PROCESSING*
JPMS
LLC IB
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
6.17% |
|
|
|
CAPITAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
87.54% |
|
|
|
|
X
GEN PHARMACEUTICALS
ATTN
X GEN LITIGATION RESERVE FUND
4
YORK CT
NORTHPORT
NY 11768-3346 |
7.43% |
|
|
|
|
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENEFIT OF
CUSTOMERS
OF MSSB
1
NEW YORK PLAZA 12TH FLOOR
NEW
YORK NY 10004-1965 |
5.03% |
|
|
|
IM
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
ITS CUSTOMER
WSS
RESTRICTED SWEEP OMNIBUS ACCT
10410
HIGHLAND MANOR DR FLOOR 3
TAMPA
FL 33610-9128 |
100.00% |
|
|
|
INSTITUTIONAL
SHARES |
JPMORGAN
CHASE BANK N.A.*
FBO
CLIENTS
ATTN
PB MF OPS 3OPS3 DE3-3740
500
STANTON CHRISTIANA RD
NEWARK
DE 19713-2105 |
82.94% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
JPMS
LLC - CHASE PROCESSING*
JPMS
LLC IB
4
CHASE METROTECH CENTER 7THFL
BROOKLYN
NY 11245-0003 |
9.10% |
JPMORGAN
SECURITIES LENDING MONEY MARKET FUND | ||
AGENCY
SL SHARES |
CITIBANK
N.A. AS AGENT FOR
JPMORGAN
BETABUILDERS EUROPE ETF
ATTN
JOHN BILELLO
390
GREENWICH ST FL 4TH
NEW
YORK NY 10013-2362 |
10.45% |
|
|
|
|
CITIBANK
N.A AS AGENT FOR JPMORGAN
BETABUILDERS
CANADA ETF
ATTN
JOHN BILELLO
390
GREENWICH ST FL 4TH
NEW
YORK NY 10013-2362 |
8.82% |
|
|
|
|
CITIBANK
N.A. AS AGENT FOR
JPMORGAN
MID CAP GROWTH FUND
ATTN
JOHN BILELLO
390
GREENWICH ST FL 4TH
NEW
YORK NY 10013-2362 |
8.07% |
|
|
|
|
CITIBANK
N.A. AS AGENT FOR
JPMORGAN
SMALL CAP GROWTH FUND
ATTN
JOHN BILELLO
390
GREENWICH ST FL 4TH
NEW
YORK NY 10013-2362 |
8.05% |
|
|
|
|
CITIBANK
N.A. AS AGENT FOR
JPMORGAN
SMALL CAP EQUITY FUND
ATTN
JOHN BILELLO
390
GREENWICH ST FL 4TH
NEW
YORK NY 10013-2362 |
6.45% |
5 | |
5 | |
7 | |
7 | |
8 | |
8 | |
9 | |
9 | |
9 | |
9 | |
9 | |
10 | |
11 | |
13 | |
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27 | |
32 | |
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36 | |
36 |
37 | |
37 | |
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39 | |
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40 | |
40 | |
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43 | |
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55 | |
56 | |
56 | |
56 | |
56 | |
57 | |
57 | |
57 | |
57 | |
58 | |
58 | |
59 | |
60 | |
61 | |
62 | |
62 | |
63 | |
64 | |
64 | |
65 | |
65 |
66 | |
67 | |
68 | |
69 | |
69 | |
69 | |
70 | |
70 | |
70 | |
71 | |
71 | |
72 | |
73 | |
82 | |
83 | |
84 | |
85 | |
86 | |
88 | |
88 | |
89 | |
89 | |
89 | |
90 | |
90 | |
92 | |
92 | |
94 | |
94 | |
98 | |
99 | |
99 | |
101 | |
101 | |
102 | |
102 | |
102 | |
103 | |
108 | |
112 | |
112 | |
115 | |
115 | |
115 | |
117 | |
117 | |
119 | |
119 | |
124 | |
126 | |
127 | |
127 |
127 | |
131 | |
131 | |
132 | |
132 | |
134 | |
135 | |
135 | |
136 | |
136 | |
136 | |
138 | |
138 | |
139 | |
142 | |
142 | |
143 | |
143 | |
145 | |
146 | |
146 | |
147 | |
147 | |
148 | |
149 | |
150 | |
151 | |
162 | |
A-1 | |
B-1 |
Name
(Year of Birth; Term of Office,
and
Length of Time Served)(1)
|
Principal
Occupation(s)
During
Past 5 Years
(or
longer) |
Number
of Funds
in
Fund Complex
Overseen
by
Trustee(2)
|
Other
Trusteeships/
Directorships
Held
During
the Past 5 Years
(or
longer)(3)
|
Independent
Trustees |
|
|
|
John
F. Finn
(1947);
Chair, since 2020;
Trustee,
since 1998. |
Chairman,
Gardner,
Inc.
(supply chain
management
company
serving
industrial and
consumer
markets)
(serving
in various
roles
1974–present). |
168 |
Director,
Greif, Inc.
(GEF)
(industrial
package
products and
services)
(2007–2023);
Trustee,
Columbus
Association
for the
Performing
Arts (1988-
present). |
Stephen
P. Fisher
(1959);
Trustee, since 2018. |
Retired;
Chairman and
Chief
Executive
Officer,
NYLIFE
Distributors
LLC
(registered
broker-
dealer)
(serving in
various
roles 2008-
2013);
Chairman,
NYLIM
Service
Company
LLC
(transfer
agent) (2008-
2017);
New York Life
Investment
Management
LLC
(registered
investment
adviser)
(serving in
various
roles 2005-
2017);
Chairman,
IndexIQ
Advisors LLC
(registered
investment
adviser
for ETFs)
(2014-2017);
President,
MainStay
VP Funds
Trust
(2007-2017),
MainStay
DefinedTerm
Municipal
Opportunities
Fund
(2011-2017)
and Main-
Stay
Funds Trust
(2007-2017)
(registered
investment
companies). |
168 |
None. |
Name
(Year of Birth; Term of Office,
and
Length of Time Served)(1) |
Principal
Occupation(s)
During
Past 5 Years
(or
longer) |
Number
of Funds
in
Fund Complex
Overseen
by
Trustee(2) |
Other
Trusteeships/
Directorships
Held
During
the Past 5 Years
(or
longer)(3) |
Gary
L. French
(1951);
Trustee, since 2014. |
Real
Estate Investor
(2011-2020);
Investment
management
industry
Consultant
and Expert
Witness
(2011-present);
Senior
Consultant for
The
Regulatory
Fundamentals
Group
LLC
(2011-2017). |
168 |
Independent
Trustee, The
China
Fund, Inc. (2013-
2019);
Exchange Traded
Concepts
Trust II (2012-
2014);
Exchange Traded
Concepts
Trust I (2011-
2014). |
Kathleen
M. Gallagher
(1958);
Trustee, since 2018. |
Retired;
Chief
Investment
Officer –
Benefit
Plans, Ford
Motor
Company
(serving
in various
roles
1985-2016). |
168 |
Non-Executive
Director,
Legal
& General
Investment
Management
(Holdings)
(2018-
present);
Non-Executive
Director,
Legal &
General
Investment
Management
America
(U.S.
Holdings)
(financial
services and
insurance)
(2017-
present);
Advisory Board
Member,
State Street
Global
Advisors Total
Portfolio
Solutions
(2017-present);
Member,
Client
Advisory Council,
Financial
Engines, LLC
(registered
investment
adviser)
(2011-2016);
Director,
Ford Pension
Funds
Investment
Management
Ltd. (2007-
2016). |
Robert
J. Grassi
(1957);
Trustee, since 2014. |
Sole
Proprietor,
Academy
Hills
Advisors
LLC (2012-
present);
Pension
Director,
Corning
Incorporated
(2002-
2012). |
168 |
None. |
Frankie
D. Hughes
(1952);
Trustee, since 2008. |
President,
Ashland
Hughes
Properties
(property
management)
(2014–present);
President
and Chief
Investment
Officer,
Hughes
Capital
Management,
Inc.
(fixed
income asset
management)
(1993–
2014). |
168 |
None. |
Name
(Year of Birth; Term of Office,
and
Length of Time Served)(1) |
Principal
Occupation(s)
During
Past 5 Years
(or
longer) |
Number
of Funds
in
Fund Complex
Overseen
by
Trustee(2) |
Other
Trusteeships/
Directorships
Held
During
the Past 5 Years
(or
longer)(3) |
Raymond
Kanner
(1953);
Trustee, since 2017. |
Retired;
Managing
Director
and Chief
Investment
Officer,
IBM
Retirement Funds
(2007–2016). |
168 |
Advisory
Board
Member,
Penso
Advisors,
LLC (2020-
present);
Advisory Board
Member,
Los Angeles
Capital
(2018-present);
Advisory
Board
Member,
State Street
Global
Advisors Total
Portfolio
Solutions
(2017-present);
Acting
Executive
Director,
Committee
on
Investment
of Employee
Benefit
Assets (CIEBA)
(2016-2017);
Advisory
Board
Member,
Betterment
for Business
(robo
advisor) (2016–
2017);
Advisory Board
Member,
BlueStar
Indexes
(index creator)
(2013–2017);
Director,
Emerging
Markets
Growth
Fund (registered
investment
company)
(1997-2016);
Member,
Russell
Index Client
Advisory
Board (2001-
2015). |
Thomas
P. Lemke
(1954);
Trustee, since 2014. |
Retired
since 2013. |
168 |
Independent
Trustee of
Advisors’
Inner Circle III
fund
platform, consisting
of
the following: (i) the
Advisors’
Inner Circle
Fund
III, (ii) the Gallery
Trust,
(iii) the Schroder
Series
Trust, (iv) the
Delaware
Wilshire
Private
Markets Fund
(since
2020), (v) Chiron
Capital
Allocation Fund
Ltd.,
(vi) formerly the
Winton
Diversified
Opportunities
Fund
(2014-2018),
and (vii)
Symmetry
Panoramic
Trust
(since 2018). |
Lawrence
R. Maffia
(1950);
Trustee, since 2014. |
Retired;
Director and
President,
ICI Mutual
Insurance
Company
(2006-2013). |
168 |
Director,
ICI Mutual
Insurance
Company
(1999-2013). |
Name
(Year of Birth; Term of Office,
and
Length of Time Served)(1) |
Principal
Occupation(s)
During
Past 5 Years
(or
longer) |
Number
of Funds
in
Fund Complex
Overseen
by
Trustee(2) |
Other
Trusteeships/
Directorships
Held
During
the Past 5 Years
(or
longer)(3) |
Mary
E. Martinez
(1960);
Vice Chair, since 2021;
Trustee,
since 2013. |
Associate,
Special
Properties,
a Christie’s
International
Real
Estate
Affiliate (2010–
present);
Managing
Director,
Bank of
America
(asset
management)
(2007–
2008);
Chief Operating
Officer,
U.S. Trust
Asset
Management,
U.S.
Trust Company
(asset
management)
(2003–2007);
President,
Excelsior
Funds
(registered
investment
companies)
(2004–2005). |
168 |
None. |
Marilyn
McCoy
(1948);
Trustee, since 1999. |
Retired;
Vice President
of
Administration and
Planning,
Northwestern
University
(1985–
2023). |
168 |
None. |
Dr.
Robert A. Oden, Jr.
(1946);
Trustee, since 1997. |
Retired;
President,
Carleton
College
(2002–2010);
President,
Kenyon
College
(1995–2002). |
168 |
Trustee,
The Coldwater
Conservation
Fund;
Trustee,
American
Museum
of Fly Fishing
(2013–present);
Trustee
and
Vice Chair, Trout
Unlimited
(2017-2021);
Trustee,
Dartmouth-
Hitchcock
Medical
Center
(2011–2020). |
Marian
U. Pardo
(1946);
Trustee, since 2013. |
Managing
Director and
Founder,
Virtual
Capital
Management
LLC
(investment
consulting)
(2007–
present);
Managing
Director,
Credit Suisse
Asset
Management
(portfolio
manager)
(2003–2006). |
168 |
Board
Chair and
Member,
Board of
Governors,
Columbus
Citizens
Foundation
(not-for-profit
supporting
philanthropic
and
cultural programs)
(2006–present). |
Name
(Year of Birth; Term of Office,
and
Length of Time Served)(1) |
Principal
Occupation(s)
During
Past 5 Years
(or
longer) |
Number
of Funds
in
Fund Complex
Overseen
by
Trustee(2) |
Other
Trusteeships/
Directorships
Held
During
the Past 5 Years
(or
longer)(3) |
Emily
A. Youssouf
(1951);
Trustee, since 2014. |
Adjunct
Professor
(2011-present)
and
Clinical
Professor
(2009-2011),
NYU
Schack
Institute of Real
Estate;
Board Member
and
Member of the
Audit
Committee
(2013-present),
Chair
of
Finance Committee
(2019-present),
Member
of Related
Parties
Committee
(2013-2018)
and
Member
of the
Enterprise
Risk
Committee
(2015-
2018),
PennyMac
Financial
Services,
Inc.;
Board Member
(2005-2018),
Chair of
Capital
Committee
(2006-2016),
Chair of
Audit
Committee
(2005-2018),
Member
of
Finance Committee
(2005-2018)
and Chair
of
IT Committee
(2016-2018),
NYC
Health
and Hospitals
Corporation. |
168 |
Trustee,
NYC School
Construction
Authority
(2009-present);
Board
Member,
NYS Job
Development
Authority
(2008-present);
Trustee
and
Chair of the Audit
Committee
of the Transit
Center
Foundation
(2015-2019). |
Interested
Trustees |
|
|
|
Robert
F. Deutsch(4)
(1957);
Trustee, since 2014. |
Retired;
Head of ETF
Business
for JPMorgan
Asset
Management
(2013-2017);
Head of
Global
Liquidity
Business
for JPMorgan
Asset
Management
(2003-2013). |
168 |
Treasurer
and Director of
the
JUST Capital
Foundation
(2017-
present). |
Nina
O. Shenker(4)
(1957);
Trustee, since 2022. |
Vice
Chair (2017-
2021),
General Counsel
and
Managing Director
(2008-2016),
Associate
General
Counsel and
Managing
Director
(2004-2008),
J.P.
Morgan
Asset & Wealth
Management. |
168 |
Director
and Member of
Executive,
Legal and
Human
Resources
Committees;
American
Jewish
Joint Distribution
Committee
(2018-present). |
Name
of Committee |
Members |
Committee
Chair |
Audit
and Valuation Committee |
Ms.
Gallagher
Mr.
Maffia
Mr.
French
Mr.
Kanner |
Ms.
Gallagher |
Compliance
Committee |
Ms.
Pardo
Mr.
Fisher
Ms.
Hughes
Mr.
Lemke |
Ms.
Pardo |
Governance
Committee |
Mr.
Finn
Ms.
Martinez
Ms.
McCoy
Dr.
Oden |
Mr.
Finn |
ETF
Committee |
Mr.
Deutsch
Mr.
Fisher
Mr.
Grassi
Ms.
Hughes
Ms.
Shenker
Ms.
Youssouf |
Mr.
Deutsch |
Equity
Committee |
Mr.
Kanner
Mr.
French
Mr.
Maffia
Ms.
Pardo |
Mr.
Kanner |
Fixed
Income Committee |
Dr.
Oden
Mr.
Grassi
Ms.
Hughes
Ms.
Martinez
Ms.
Shenker
Ms.
Youssouf |
Dr.
Oden |
Money
Market and Alternative
Products
Committee |
Mr.
Fisher
Mr.
Deutsch
Ms.
Gallagher
Mr.
Lemke
Ms.
McCoy |
Mr.
Fisher |
Name
(Year of Birth),
Positions
Held with
the
Trusts (Since) |
Principal
Occupations During Past 5 Years |
Brian
S. Shlissel (1964),
President
and Principal
Executive
Officer (2016) |
Managing
Director and Chief Administrative Officer for J.P.
Morgan
pooled vehicles, J.P. Morgan Investment Management Inc.
since
2014. |
Timothy
J. Clemens (1975),
Treasurer
and Principal
Financial
Officer (2018) |
Managing
Director, J.P. Morgan Investment Management Inc. Mr.
Clemens
has been with J.P. Morgan Investment Management Inc.
since
2013. |
Gregory
S. Samuels (1980),
Secretary
(2019) (formerly
Assistant
Secretary 2010-2019) |
Managing
Director and Assistant General Counsel, JPMorgan
Chase.
Mr. Samuels has been with JPMorgan Chase since
2010. |
Stephen
M. Ungerman (1953),
Chief
Compliance Officer
(2005) |
Managing
Director, JPMorgan Chase & Co. Mr. Ungerman has been
with
JPMorgan Chase & Co. since
2000. |
Name
(Year of Birth),
Positions
Held with
the
Trusts (Since) |
Principal
Occupations During Past 5 Years |
Kiesha
Astwood-Smith (1973),
Assistant
Secretary (2021) |
Vice
President and Assistant General Counsel, JPMorgan Chase
since
June 2021; Senior Director and Counsel, Equitable Financial
Life
Insurance Company (formerly, AXA Equitable Life Insurance
Company)
from September 2015 through June 2021. |
Matthew
Beck (1988),
Assistant
Secretary (2021)* |
Vice
President and Assistant General Counsel, JPMorgan Chase
since
May 2021; Senior Legal Counsel, Ultimus Fund Solutions
from
May 2018 through May 2021; General Counsel, The
Nottingham
Company from April 2014 through May 2018. |
Elizabeth
A. Davin (1964),
Assistant
Secretary (2005)* |
Executive
Director and Assistant General Counsel, JPMorgan
Chase.
Ms. Davin has been with JPMorgan Chase (formerly Bank
One
Corporation) since 2004. |
Jessica
K. Ditullio (1962),
Assistant
Secretary (2005)* |
Executive
Director and Assistant General Counsel, JPMorgan
Chase.
Ms. Ditullio has been with JPMorgan Chase (formerly Bank
One
Corporation) since 1990. |
Anthony
Geron (1971), Assistant
Secretary
(2018) |
Vice
President and Assistant General Counsel, JPMorgan Chase
since
September 2018; Lead Director and Counsel, AXA Equitable
Life
Insurance Company from 2015 to 2018 and Senior Director and
Counsel,
AXA Equitable Life Insurance Company from 2014 to
2015. |
Carmine
Lekstutis (1980),
Assistant
Secretary (2011) |
Executive
Director and Assistant General Counsel, JPMorgan
Chase.
Mr. Lekstutis has been with JPMorgan Chase since
2011. |
Max
Vogel (1990),
Assistant
Secretary (2021) |
Vice
President and Assistant General Counsel, JPMorgan Chase
since
June 2021; Associate, Proskauer Rose LLP (law firm) from
March
2017 to June 2021. |
Zachary
E. Vonnegut-Gabovitch
(1986),
Assistant
Secretary (2017) |
Executive
Director and Assistant General Counsel, JPMorgan
Chase.
Mr. Vonnegut-Gabovitch has been with JPMorgan Chase
since
September 2016. |
Frederick
J. Cavaliere (1978),
Assistant
Treasurer (2015)** |
Executive
Director, J.P. Morgan Investment Management Inc. Mr.
Cavaliere
has been with JPMorgan since May 2006. |
Michael
M. D’Ambrosio (1969),
Assistant
Treasurer (2012) |
Managing
Director, J.P. Morgan Investment Management Inc. Mr.
D’Ambrosio
has been with J.P. Morgan Investment Management
Inc.
since 2012. |
Aleksandr
Fleytekh (1972),
Assistant
Treasurer (2019) |
Executive
Director, J.P. Morgan Investment Management Inc. Mr.
Fleytekh
has been with J.P. Morgan Investment Management Inc.
since
February 2012. |
Shannon
Gaines (1977),
Assistant
Treasurer (2018)* |
Executive
Director, J.P. Morgan Investment Management Inc. Mr.
Gaines
has been with J.P. Morgan Investment Management Inc.
since
January 2014. |
Jeffrey
D. House (1972),
Assistant
Treasurer (2017)* |
Vice
President, J.P. Morgan Investment Management Inc. Mr. House
has
been with J.P. Morgan Investment Management Inc. since July
2006. |
Michael
Mannarino (1985),
Assistant
Treasurer (2020) |
Vice
President, J.P. Morgan Investment Management Inc. Mr.
Mannarino
has been with J.P. Morgan Investment Management Inc.
since
2014. |
Joseph
Parascondola (1963),
Assistant
Treasurer (2011)** |
Executive
Director, J.P. Morgan Investment Management Inc. Mr.
Parascondola
has been with J.P. Morgan Investment Management
Inc.
since 2006. |
Gillian
I. Sands (1969), Assistant
Treasurer
(2012) |
Executive
Director, J.P. Morgan Investment Management Inc. Ms.
Sands
has been with J.P. Morgan Investment Management Inc. since
September
2012. |
Money
Market Funds1: |
|
|
Tier
One |
First
$250 billion |
0.0013% |
Tier
Two |
Over
$250 billion |
0.0010% |
All
Funds except Money Market Funds: |
|
|
Tier
One |
Up
to $100 billion |
0.00375% |
Tier
Two |
$100
billion to $175 billion |
0.0030% |
Tier
Three |
$175
billion to $600 billion |
0.0020% |
Tier
Four |
Over
$600 billion |
0.0015% |
Other
Fees: |
|
|
Additional
Share Classes (this additional class
expense
applies after the tenth class) |
|
$2,000
per Class |
Daily
Market-based Net Asset Value Calculation
for
Money Market Funds |
|
$15,000
per Fund |
Hourly
Net Asset Value Calculation for Money
Market
Funds |
|
$5,000
per Fund |
Floating
NAV Support for Money Market Funds |
|
$100,000
per Fund |
Annual
Minimums: |
|
Money
Market Funds |
$15,000
per Fund |
All
Other Funds |
$20,000
per Fund |
A-1 |
A
short-term obligation rated ‘A-1’ is rated in the highest category by
S&P Global
Ratings.
The obligor’s capacity to meet its financial commitments 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 commitments on these
obligations
is extremely strong. |
A-2 |
A
short-term obligation rated ‘A-2’ is somewhat more susceptible to the
adverse effects
of
changes in circumstances and economic conditions than obligations in
higher rating
categories.
However, the obligor’s capacity to meet its financial commitments on the
obligation
is satisfactory. |
A-3 |
A
short-term obligation rated ‘A-3’ exhibits adequate protection parameters.
However,
adverse
economic conditions or changing circumstances are more likely to weaken an
obligor’s
capacity to meet its financial commitments on the
obligation. |
B |
A
short-term obligation rated ‘B' is regarded as vulnerable and has
significant
speculative
characteristics. The obligor currently has the capacity to meet its
financial
commitments;
however, it faces major ongoing uncertainties that could lead to the
obligor's
inadequate capacity to meet its financial
commitments. |
C |
A
short-term obligation rated ‘C’ is currently vulnerable to nonpayment and
is
dependent
upon favorable business, financial, and economic conditions for the
obligor
to
meet its financial commitments on the obligation. |
D |
A
short-term obligation rated ‘D’ is 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 any stated grace period. However, any stated grace
period
longer
than five business days will be treated as five business days. The ‘D’
rating also
will
be used upon the filing of a bankruptcy petition or the taking of a
similar action and
where
default on an obligation is a virtual certainty, for example due to
automatic stay
provisions.
A rating on an obligation is lowered to ‘D’ if it is subject to a
distressed debt
restructuring. |
F1 |
HIGHEST
SHORT-TERM CREDIT QUALITY. Indicates the strongest intrinsic
capacity
for timely payment of financial commitments; may have an added “+” to
denote
any exceptionally strong credit feature. |
F2 |
GOOD
SHORT-TERM CREDIT QUALITY. Good intrinsic capacity for timely payment
of
financial commitments. |
F3 |
FAIR
SHORT-TERM CREDIT QUALITY. The intrinsic capacity for timely payment of
financial
commitments is
adequate. |
B |
SPECULATIVE
SHORT-TERM CREDIT QUALITY. Minimal capacity for timely
payment
of financial commitments, plus heightened vulnerability to near term
adverse
changes
in financial and economic conditions. |
C |
HIGH
SHORT-TERM DEFAULT RISK. Default is a real
possibility. |
RD |
RESTRICTED
DEFAULT. Indicates an entity that has defaulted on one or more of its
financial
commitments, although it continues to meet other financial obligations.
Typically
applicable to entity ratings only. |
D |
DEFAULT.
Indicates a broad-based default event for an entity, or the default of a
short-
term
obligation. |
P-1 |
Ratings
of Prime-1 reflect a superior ability to repay short-term debt
obligations. |
P-2 |
Ratings
of Prime-2 reflect a strong ability to repay short-term debt
obligations. |
P-3 |
Ratings
of Prime-3 reflect an acceptable ability to repay short-term
obligations. |
NP |
Issuers
(or supporting institutions) rated Not Prime do not fall within any of the
Prime
rating
categories. |
R-1
(high) |
Highest
credit quality. The capacity for the payment of short-term financial
obligations
as
they fall due is exceptionally high. Unlikely to be adversely affected by
future events. |
R-1
(middle) |
Superior
credit quality. The capacity for the payment of short-term financial
obligations
as
they fall due is very high. Differs from R-1 (high) by a relatively modest
degree.
Unlikely
to be significantly vulnerable to future events. |
R-1
(low) |
Good
credit quality. The capacity for the payment of short-term financial
obligations as
they
fall due is substantial. Overall strength is not as favorable as higher
rating
categories.
May be vulnerable to future events, but qualifying negative factors are
considered
manageable. |
R-2
(high) |
Upper
end of adequate credit quality. The capacity for the payment of short-term
financial
obligations as they fall due is acceptable. May be vulnerable to future
events. |
R-2
(middle) |
Adequate
credit quality. The capacity for the payment of short-term financial
obligations
as they fall due is acceptable. May be vulnerable to future events or may
be
exposed
to other factors that could reduce credit
quality. |
R-2
(low) |
Lower
end of adequate credit quality. The capacity for the payment of short-term
financial
obligations as they fall due is acceptable. May be vulnerable to future
events.
A
number of challenges are present that could affect the issuer’s ability to
meet such
obligations. |
R-3 |
Lowest
end of adequate credit quality. There is a capacity for the payment of
short-term
financial
obligations as they fall due. May be vulnerable to future events and the
certainty
of meeting such obligations could be impacted by a variety of
developments. |
R-4 |
Speculative
credit quality. The capacity for the payment of short-term financial
obligations
as they fall due is uncertain. |
R-5 |
Highly
speculative credit quality. There is a high level of uncertainty as to the
capacity
to
meet short-term financial obligations as they fall
due. |
D |
When
the issuer has filed under any applicable bankruptcy, insolvency or
winding up
statute
or there is a failure to satisfy an obligation after the exhaustion of
grace periods,
a
downgrade to D may occur. DBRS Morningstar may also use SD (Selective
Default)
in
cases where only some securities are impacted, such as the case of a
“distressed
exchange.” |
AAA |
An
obligation rated ‘AAA’ has the highest rating assigned by S&P Global
Ratings. The
obligor’s
capacity to meet its financial commitments on the obligation is extremely
strong. |
AA |
An
obligation rated ‘AA’ differs from the highest-rated obligations only to a
small
degree.
The obligor’s capacity to meet its financial commitments on the obligation
is
very
strong. |
A |
An
obligation rated ‘A’ is somewhat more susceptible to the adverse effects
of changes
in
circumstances and economic conditions than obligations in higher-rated
categories.
However,
the obligor’s capacity to meet its financial commitments on the obligation
is
still
strong. |
BBB |
An
obligation rated ‘BBB’ exhibits adequate protection parameters. However,
adverse
economic
conditions or changing circumstances are more likely to weaken the
obligor’s
capacity
to meet its financial commitments on the
obligation. |
BB,B,CCC,CC
and
C |
Obligations
rated ‘BB’, ‘B’, ‘CCC’, ‘CC’, and ‘C’ are regarded as having significant
speculative
characteristics. ‘BB’ indicates the least degree of speculation and ‘C’
the
highest.
While such obligations will likely have some quality and protective
characteristics,
these may be outweighed by large uncertainties or major exposure to
adverse
conditions. |
BB |
An
obligation rated ‘BB’ is less vulnerable to nonpayment than other
speculative issues.
However,
it faces major ongoing uncertainties or exposure to adverse business,
financial,
or economic conditions that could lead to the obligor’s inadequate
capacity to
meet
its financial commitments on the obligation. |
B |
An
obligation rated ‘B’ is more vulnerable to nonpayment than obligations
rated ‘BB’,
but
the obligor currently has the capacity to meet its financial commitments
on the
obligation.
Adverse business, financial, or economic conditions will likely impair the
obligor’s
capacity or willingness to meet its financial commitments on the
obligation. |
CCC |
An
obligation rated ‘CCC’ is currently vulnerable to nonpayment, and is
dependent
upon
favorable business, financial, and economic conditions for the obligor to
meet its
financial
commitments on the obligation. In the event of adverse business,
financial, or
economic
conditions, the obligor is not likely to have the capacity to meet its
financial
commitments
on the obligation. |
CC |
An
obligation rated ‘CC’ is 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 the anticipated time to
default. |
C |
An
obligation rated ‘C’ is currently highly vulnerable to nonpayment, and the
obligation
is
expected to have lower relative seniority or lower ultimate recovery
compared with
obligations
that are rated higher. |
D |
An
obligation rated ‘D’ is 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 ‘D’ rating also will
be used
upon
the filing of a bankruptcy petition or the taking of similar action and
where default
on
an obligation is a virtual certainty, for example due to automatic stay
provisions. A
rating
on an obligation is lowered to ‘D’ if it is subject to a distressed debt
restructuring. |
AAA |
HIGHEST
CREDIT QUALITY. ‘AAA’ ratings denote the lowest expectation of default
risk.
They are assigned only in cases of exceptionally strong capacity for
payment of
financial
commitments. This capacity is highly unlikely to be adversely affected by
foreseeable
events. |
AA |
VERY
HIGH CREDIT QUALITY. ‘AA’ ratings denote expectations of very low default
risk.
They indicate very strong capacity for payment of financial commitments.
This
capacity
is not significantly vulnerable to foreseeable
events. |
A |
HIGH
CREDIT QUALITY. ‘A’ ratings denote expectations of low default risk. The
capacity
for payment of financial commitments is considered strong. This capacity
may,
nevertheless,
be more vulnerable to adverse business or economic conditions than is the
case
for higher ratings. |
BBB |
GOOD
CREDIT QUALITY. ‘BBB’ ratings indicate that expectations of default risk
are
currently
low. The capacity for payment of financial commitments is considered
adequate,
but adverse business or economic conditions are more likely to impair this
capacity. |
BB |
SPECULATIVE.
‘BB’ ratings indicate an elevated vulnerability to default risk,
particularly
in the event of adverse changes in business or economic conditions over
time;
however, business or financial flexibility exists that supports the
servicing of
financial
commitments. |
B |
HIGHLY
SPECULATIVE. ‘B’ ratings indicate that material default risk is present,
but a
limited
margin of safety remains. Financial commitments are currently being met;
however,
capacity for continued payment is vulnerable to deterioration in the
business
and
economic environment. |
CCC |
SUBSTANTIAL
CREDIT RISK. Default is a real possibility. |
CC |
VERY
HIGH LEVELS OF CREDIT RISK. Default of some kind appears
probable. |
C |
NEAR
DEFAULT. A default or default-like process has begun, or the issuer is in
standstill,
or for a closed funding vehicle, payment capacity is irrevocably impaired.
Conditions
that are indicative of a ‘C’ category rating for an issuer
include: |
|
●the
issuer has entered into a grace or cure period following non-payment of a
material
financial obligation;
●the
issuer has entered into a temporary negotiated waiver or standstill
agreement
following
a payment default on a material financial obligation;
●the
formal announcement by the issuer or their agent of a distressed debt
exchange;
●a
closed financing vehicle where payment capacity is irrevocably impaired
such that
it
is not expected to pay interest and/or principal in full during the life
of the
transaction,
but where no payment default is imminent. |
RD |
RESTRICTED
DEFAULT. ‘RD’ ratings indicate an issuer that in Fitch’s opinion has
experienced: |
|
●an
uncured payment default or distressed debt exchange on a bond, loan or
other
material
financial obligation, but
●has
not entered into bankruptcy filings, administration, receivership,
liquidation or
other
formal winding-up procedure, and
●has
not otherwise ceased operating. This would include:
●the
selective payment default on a specific class or currency of
debt;
●the
uncured expiry of any applicable grace period, cure period or default
forbearance
period
following a payment default on a bank loan, capital markets security or
other
material
financial obligation;
●the
extension of multiple waivers or forbearance periods upon a payment
default on
one
or more material financial obligations, either in series or in parallel;
ordinary
execution
of a distressed debt exchange on one or more material financial
obligations. |
D |
DEFAULT.
‘D’ ratings indicate an issuer that in Fitch Ratings’ opinion has entered
into
bankruptcy filings, administration, receivership, liquidation or other
formal
winding-up
procedure or that has otherwise ceased
business. |
Aaa |
Obligations
rated Aaa are judged to be of the highest quality, with minimal
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 judged to be 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 have speculative elements 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 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 in 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. |
AAA |
Highest
credit quality. The capacity for the payment of financial obligations is
exceptionally
high and unlikely to be adversely affected by future
events. |
AA |
Superior
credit quality. The capacity for the payment of financial obligations is
considered
high. Credit quality differs from AAA only to a small degree. Unlikely to
be
significantly
vulnerable to future events. |
A |
Good
credit quality. The capacity for the payment of financial obligations is
substantial,
but
of lesser credit quality than AA. May be vulnerable to future events, but
qualifying
negative
factors are considered manageable. |
BBB |
Adequate
credit quality. The capacity for the payment of financial obligations is
considered
acceptable. May be vulnerable to future events. |
BB |
Speculative,
non-investment grade credit quality. The capacity for the payment of
financial
obligations is uncertain. Vulnerable to future
events. |
B |
Highly
speculative credit quality. There is a high level of uncertainty as to the
capacity
to
meet financial obligations. |
CCC/CC/C |
Very
highly speculative credit quality. In danger of defaulting on financial
obligations.
There
is little difference between these three categories, although CC and C
ratings are
normally
applied to obligations that are seen as highly likely to default, or
subordinated
to
obligations rated in the CCC to B range. Obligations in respect of which
default has
not
technically taken place but is considered inevitable may be rated in the C
category. |
D |
When
the issuer has filed under any applicable bankruptcy, insolvency or
winding up
statute
or there is a failure to satisfy an obligation after the exhaustion of
grace periods,
a
downgrade to D may occur. DBRS Morningstar may also use SD (Selective
Default)
in
cases where only some securities are impacted, such as the case of a
“distressed
exchange.” |
AAA |
An
insurer rated ‘AAA’ has extremely strong financial security
characteristics. ‘AAA’ is
the
highest insurer financial strength rating assigned by S&P Global
Ratings. |
AA |
An
insurer rated ‘AA’ has very strong financial security characteristics,
differing only
slightly
from those rated higher. |
A |
An
insurer rated ‘A’ has strong financial security characteristics, but is
somewhat more
likely
to be affected by adverse business conditions than are insurers with
higher ratings. |
BBB |
An
insurer rated ‘BBB’ has good financial security characteristics, but is
more likely to
be
affected by adverse business conditions than are higher-rated
insurers. |
BB,
B, CCC,
and
CC |
An
insurer rated ‘BB’ or lower is regarded as having vulnerable
characteristics that may
outweigh
its strengths, ‘BB’ indicates the least degree of vulnerability within the
range
and
‘CC’ the highest. |
BB |
An
insurer rated ‘BB’ has marginal financial security characteristics.
Positive attributes
exist,
but adverse business conditions could lead to insufficient ability to meet
financial
commitments. |
B |
An
insurer rated ‘B’ has weak financial security characteristics. Adverse
business
conditions
will likely impair its ability to meet financial
commitments. |
CCC |
An
insurer rated ‘CCC’ has very weak financial security characteristics, and
is
dependent
on favorable business conditions to meet financial
commitments. |
CC |
An
insurer rated ‘CC’ has extremely weak financial security characteristics
and is likely
not
to meet some of its financial commitments. |
SD
and D |
An
insurer rated ‘SD’ (selective default) or ‘D’ is in default on one or more
of its
insurance
policy obligations.
The
‘D’ rating also will be used upon the filing of a bankruptcy petition or
the taking of
similar
action if payments on a policy obligation are at risk. A ‘D’ rating is
assigned
when
S&P Global Ratings believes that the default will be a general default
and that the
obligor
will fail to pay substantially all of its obligations in full in
accordance with the
policy
terms.
An
‘SD’ rating is assigned when S&P Global Ratings believes that the
insurer has
selectively
defaulted on a specific class of policies but it will continue to meet its
payment
obligations on other classes of obligations. An ‘SD’ includes the
completion of
a
distressed debt restructuring. Claim denials due to lack of coverage or
other legally
permitted
defenses are not considered
defaults. |
AAA |
EXCEPTIONALLY
STRONG. ‘AAA’ IFS Ratings denote the lowest expectation of
ceased
or interrupted payments. They are assigned only in the case of
exceptionally
strong
capacity to meet policyholder and contract obligations. This capacity is
highly
unlikely
to be adversely affected by foreseeable events. |
AA |
VERY
STRONG. ‘AA’ IFS Ratings denote a very low expectation of ceased or
interrupted
payments. They indicate very strong capacity to meet policyholder and
contract
obligations. This capacity is not significantly vulnerable to foreseeable
events. |
A |
STRONG.
‘A’ IFS Ratings denote a low expectation of ceased or interrupted
payments.
They
indicate strong capacity to meet policyholder and contract obligations.
This
capacity
may, nonetheless, be more vulnerable to changes in circumstances or in
economic
conditions than is the case for higher ratings. |
BBB |
GOOD.
‘BBB’ IFS Ratings indicate that there is currently a low expectation of
ceased
or
interrupted payments. The capacity to meet policyholder and contract
obligations on
a
timely basis is considered adequate, but adverse changes in circumstances
and
economic
conditions are more likely to impact this
capacity. |
BB |
MODERATELY
WEAK. ‘BB’ IFS Ratings indicate that there is an elevated
vulnerability
to ceased or interrupted payments, particularly as the result of adverse
economic
or market changes over time. However, business or financial alternatives
may
be
available to allow for policyholder and contract obligations to be met in
a timely
manner. |
B |
WEAK.
‘B’ IFS Ratings indicate two possible conditions. If obligations are still
being
met
on a timely basis, there is significant risk that ceased or interrupted
payments could
occur
in the future, but a limited margin of safety remains. Capacity for
continued
timely
payments is contingent upon a sustained, favorable business and economic
environment,
and favorable market conditions. Alternatively, a ‘B’ IFS Rating is
assigned
to obligations that have experienced ceased or interrupted payments, but
with
the
potential for extremely high recoveries. Such obligations would possess a
recovery
assessment
of ‘RR1’ (Outstanding). |
CCC |
VERY
WEAK. ‘CCC’ IFS Ratings indicate two possible conditions. If obligations
are
still
being met on a timely basis, there is a real possibility that ceased or
interrupted
payments
could occur in the future. Capacity for continued timely payments is
solely
reliant
upon a sustained, favorable business and economic environment, and
favorable
market
conditions. Alternatively, a ‘CCC’ IFS Rating is assigned to obligations
that have
experienced
ceased or interrupted payments, and with the potential for average to
superior
recoveries. Such obligations would possess a recovery assessment of ‘RR2’
(Superior),
‘RR3’ (Good), and ‘RR4’
(Average). |
CC |
EXTREMELY
WEAK. ‘CC’ IFS Ratings indicate two possible conditions. If
obligations
are still being met on a timely basis, it is probable that ceased or
interrupted
payments
will occur in the future. Alternatively, a ‘CC’ IFS Rating is assigned to
obligations
that have experienced ceased or interrupted payments, with the potential
for
average
to below-average recoveries. Such obligations would possess a recovery
assessment
of ‘RR4’ (Average) or ‘RR5’ (Below Average). |
C |
DISTRESSED.
‘C’ IFS Ratings indicate two possible conditions. If obligations are still
being
met on a timely basis, ceased or interrupted payments are imminent.
Alternatively,
a
‘C’ IFS Rating is assigned to obligations that have experienced ceased or
interrupted
payments,
and with the potential for below average to poor recoveries. Such
obligations
would
possess a recovery assessment of ‘RR5’ (Below Average) or ‘RR6’
(Poor). |
F1 |
Insurers
are viewed as having a strong capacity to meet their near-term
obligations.
When
an insurer rated in this rating category is designated with a (+) sign, it
is viewed
as
having a very strong capacity to meet near-term
obligations. |
F2 |
Insurers
are viewed as having a good capacity to meet their near-term
obligations. |
F3 |
Insurers
are viewed as having an adequate capacity to meet their near-term
obligations. |
B |
Insurers
are viewed as having a weak capacity to meet their near-term
obligations. |
C |
Insurers
are viewed as having a very weak capacity to meet their near-term
obligations. |
RR1 |
OUTSTANDING
RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR1’ rated securities
have
characteristics consistent with securities historically recovering
91%–100% of
current
principal and related interest. |
RR2 |
SUPERIOR
RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR2’ rated securities have
characteristics
consistent with securities historically recovering 71%–90% of current
principal
and related interest. |
RR3 |
GOOD
RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR3’ rated securities have
characteristics
consistent with securities historically recovering 51%–70% of current
principal
and related interest. |
RR4 |
AVERAGE
RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR4’ rated securities have
characteristics
consistent with securities historically recovering 31%–50% of current
principal
and related interest. |
RR5 |
BELOW
AVERAGE RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR5’ rated
securities
have characteristics consistent with securities historically recovering
11%–
30%
of current principal and related interest. |
RR6 |
POOR
RECOVERY PROSPECTS GIVEN DEFAULT. ‘RR6’ rated securities have
characteristics
consistent with securities historically recovering 0%–10% of current
principal
and related interest. |
Aaa |
Insurance
companies rated Aaa are judged to be of the highest quality, subject to
the
lowest
level of credit risk. |
Aa |
Insurance
companies rated Aa are judged to be of high quality and are subject to
very
low
credit risk. |
A |
Insurance
companies rated A are judged to be upper-medium grade and are subject to
low
credit risk. |
Baa |
Insurance
companies rated Baa are judged to be medium-grade and subject to moderate
credit
risk and as such may possess certain speculative
characteristics. |
Ba |
Insurance
companies rated Ba are judged to be speculative and are subject to
substantial
credit
risk. |
B |
Insurance
companies rated B are considered speculative and are subject to high
credit
risk. |
Caa |
Insurance
companies rated Caa are judged to be speculative of poor standing and are
subject
to very high credit risk. |
Ca |
Insurance
companies rated Ca are highly speculative and are likely in, or very near,
default,
with some prospect of recovery of principal and
interest. |
C |
Insurance
companies rated C are the lowest rated and are typically in default, with
little
prospect
for recovery of principal or
interest. |
P-1 |
Ratings
of Prime-1 reflect a superior ability to repay short-term debt
obligations. |
P-2 |
Ratings
of Prime-2 reflect a strong ability to repay short-term debt
obligations. |
P-3 |
Ratings
of Prime-3 reflect an acceptable ability to repay short-term
obligations. |
P-4 |
Issuers
(or supporting institutions) rated Not Prime do not fall within any of the
Prime
rating
categories. |
SP-1 |
Strong
capacity to pay principal and interest. An issue determined to possess a
very
strong
capacity to pay debt service is given a plus (+)
designation. |
SP-2 |
Satisfactory
capacity to pay principal and interest, with some vulnerability to adverse
financial
and economic changes over the term of the notes. |
SP-3 |
Speculative
capacity to pay principal and
interest. |
D |
‘D’
is assigned upon failure to pay the note when due, completion of a
distressed debt
restructuring,
or the filing of a bankruptcy petition or the taking of similar action and
where
default on an obligation is a virtual certainty, for example, due to
automatic stay
provisions. |
MIG
1 |
This
designation denotes superior credit quality. Excellent protection is
afforded by
established
cash flows, highly reliable liquidity support or demonstrated broad-based
access
to the market for refinancing. |
MIG
2 |
This
designation denotes strong credit quality. Margins of protection are
ample,
although
not as large as in the preceding group. |
MIG
3 |
This
designation denotes acceptable credit quality. Liquidity and cash-flow
protection
may
be narrow, and market access for refinancing is likely to be less
well-established. |
SG |
This
designation denotes speculative-grade credit quality. Debt instruments in
this
category
may lack sufficient margins of
protection. |
VMIG
1 |
This
designation denotes superior credit quality. Excellent protection is
afforded by the
superior
short-term credit strength of the liquidity provider and structural and
legal
protections
that ensure the timely payment of purchase price upon
demand. |
VMIG
2 |
This
designation denotes strong credit quality. Good protection is afforded by
the strong
short-term
credit strength of the liquidity provider and structural and legal
protections
that
ensure the timely payment of purchase price upon
demand. |
VMIG
3 |
This
designation denotes acceptable credit quality. Adequate protection is
afforded by
the
satisfactory short-term credit strength of the liquidity provider and
structural and
legal
protections that ensure the timely payment of purchase price upon
demand. |
SG |
This
designation denotes speculative-grade credit quality. Demand features
rated in this
category
may be supported by a liquidity provider that does not have a sufficiently
strong
short-term rating or may lack the structural or legal protections
necessary to
ensure
the timely payment of purchase price upon
demand. |
Pfd-1 |
Preferred
shares rated Pfd-1 are generally of superior credit quality, and are
supported
by
entities with strong earnings and balance sheet characteristics. Pfd-1
ratings
generally
correspond with issuers with a AAA or AA category reference
point1. |
Pfd-2 |
Preferred
shares rated Pfd-2 are generally of good credit quality. Protection of
dividends
and
principal is still substantial, but earnings, the balance sheet and
coverage ratios are
not
as strong as Pfd-1 rated companies. Generally, Pfd-2 ratings correspond
with issuers
with
an A category or higher reference point. |
Pfd-3 |
Preferred
shares rated Pfd-3 are generally of adequate credit quality. While
protection of
dividends
and principal is still considered acceptable, the issuing entity is more
susceptible
to adverse changes in financial and economic conditions, and there may be
other
adverse conditions present which detract from debt protection. Pfd-3
ratings
generally
correspond with issuers with a BBB category or higher reference
point. |
Pfd-4 |
Preferred
shares rated Pfd-4 are generally speculative, where the degree of
protection
afforded
to dividends and principal is uncertain, particularly during periods of
economic
adversity.
Issuers with preferred shares rated Pfd-4 generally correspond with
issuers
with
a BB category or higher reference point. |
Pfd-5 |
Preferred
shares rated Pfd-5 are generally highly speculative and the ability of the
entity
to
maintain timely dividend and principal payments in the future is highly
uncertain.
Entities
with a Pfd-5 rating generally correspond with issuers with a B category or
higher
reference point. Preferred shares rated Pfd-5 often have characteristics
that, if not
remedied,
may lead to default. |
D |
When
the issuer has filed under any applicable bankruptcy, insolvency or
winding up or
the
issuer is in default per the legal documents, a downgrade to D may occur.
Because
preferred
share dividends are only payable when approved, the non-payment of a
preferred
share dividend does not necessarily result in a D. DBRS Morningstar may
also
use
SD (Selective Default) in cases where only some securities are impacted,
such as the
case
of a “distressed exchange”. See the Default Definition document posted on
the
website
for more information. |