FUND
NAME |
CLASS
A |
CLASS
C |
CLASS
I |
CLASS
R |
CLASS
R6 |
CLASS
Y |
MEMBER
CLASS |
Victory
Diversified Stock Fund |
SRVEX |
VDSCX |
VDSIX |
GRINX |
VDSRX |
VDSYX |
— |
Victory
INCORE Fund for Income |
IPFIX |
VFFCX |
VFFIX |
GGIFX |
VFFRX |
VFFYX |
VFFMX |
Victory
INCORE Investment Grade
Convertible
Fund |
SBFCX |
— |
VICIX |
— |
— |
— |
SBFMX |
Victory
NewBridge Large Cap Growth Fund |
VFGAX |
VFGCX |
VFGIX |
— |
— |
VFGYX |
— |
Victory
Special Value Fund |
SSVSX |
VSVCX |
VSPIX |
VSVGX |
— |
VSVYX |
— |
Victory
Strategic Allocation Fund |
SBALX |
VBFCX |
VBFIX |
VBFGX |
— |
— |
— |
Victory
Sycamore Established Value Fund |
VETAX |
VEVCX |
VEVIX |
GETGX |
VEVRX |
VEVYX |
— |
Victory
Sycamore Small Company
Opportunity
Fund |
SSGSX |
— |
VSOIX |
GOGFX |
VSORX |
VSOYX |
— |
Victory
THB US Small Opportunities Fund |
THBVX |
— |
THBIX |
— |
— |
— |
— |
Amount
of
Purchase |
Initial
Sales Charge:
%
of Offering Price |
Concession
to Dealers:
%
of Offering Price |
Up
to $49,999 |
5.75% |
5.00% |
$
50,000 to $99,999 |
4.50% |
4.00% |
$
100,000 to $249,999 |
3.50% |
3.00% |
$
250,000 to $499,999 |
2.50% |
2.00% |
$
500,000 to $999,999 |
2.00% |
1.75% |
$
1,000,000 and above* |
0.00% |
** |
Your
Investment in the Fund
|
Initial
Sales Charge:
%
of Offering Price |
Concession
to Dealers:
%
of Offering Price |
Up
to $99,999
|
2.25%
|
2.00%
|
$100,000
up to $249,999
|
1.75%
|
1.50%
|
$250,000
and above* |
0.00%
|
** |
All
Equity Funds |
|
NAV
per Share |
$10.00 |
Per
Share Sales Charge—5.75% of public offering price (6.10% of net asset
value per share) for each Fund |
$0.61 |
Per
Share Offering Price to the Public |
$10.61 |
Fixed
Income Funds |
|
NAV
per Share |
$10.00 |
Per
Share Sales Charge—2.25% of public offering price (2.30% of net asset
value per share) for each Fund |
$0.23 |
Per
Share Offering Price to the Public |
$10.23 |
Name
and
Date
of Birth |
Position
Held
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Number
of Portfolios
in
Fund Complex
Overseen
by Trustee |
Other
Directorships
Held
During
the
Past
5 Years |
David
Brooks
Adcock,
Born
October
1951 |
Trustee |
May
2005 |
Consultant
(since 2006). |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
Chairman,
Board
of
Trustees,
Turner
Funds
(December
2016-
December
2017). |
Name
and
Date
of Birth |
Position
Held
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Number
of Portfolios
in
Fund Complex
Overseen
by Trustee |
Other
Directorships
Held
During
the
Past
5 Years |
Nigel
D.T.
Andrews,
Born
April 1947 |
Trustee |
August
2002 |
Retired. |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
Director,
Carlyle
Secured
Lending,
Inc.
(formerly
TCG
BDC
I, Inc.)
(since
2012);
Director,
Carlyle
Credit
Solutions,
Inc.
(formerly
TCG
BDC
II, Inc.)
(since
2017);
Trustee,
Carlyle
Secured
Lending
III
(since
2021). |
E.
Lee Beard*,
Born
August
1951 |
Trustee |
May
2005 |
Retired. |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
None. |
Dennis
M.
Bushe,
Born
January
1944 |
Trustee |
July
2016 |
Retired. |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
None. |
John
L. Kelly,
Born
April 1953 |
Chair
and
Trustee |
February
2015 |
Partner,
McCarvill
Capital
Partners
(September
2016-September
2017). |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
Director,
Caledonia
Mining
Corporation
(since
May
2012). |
David
L. Meyer,
Born
April 1957 |
Trustee |
December
2008 |
Retired. |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
None. |
Gloria
S.
Nelund,
Born
May 1961 |
Trustee |
July
2016 |
Chair,
CEO, and
Co-Founder
of TriLinc
Global,
LLC, an
investment
firm. |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
TriLinc
Global
Impact
Fund,
LLC
(since
2012). |
Name
and
Date
of Birth |
Position
Held
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Number
of Portfolios
in
Fund Complex
Overseen
by Trustee |
Other
Directorships
Held
During
the
Past
5 Years |
Leigh
A. Wilson,
Born
December
1944 |
Trustee |
November
1994 |
Private
Investor. |
72
portfolios comprised
of
40 portfolios in the
Trust,
26 portfolios in
Victory
Portfolios II,
and
6 portfolios in
Victory
Variable
Insurance
Funds |
Chair
(since
2013),
Caledonia
Mining
Corporation. |
Name
and Age |
Position
Held
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Number
of Portfolios
in
Fund Complex
Overseen
by Trustee |
Other
Directorships
Held
During
the
Past
5 Years |
David
C.
Brown**,
Born
May 1972 |
Trustee |
May
2008 |
Chief
Executive Officer
and
Chairman
(2013-present),
Victory
Capital
Management
Inc.; Chief
Executive
Officer and
Chairman
(2013-present),
Victory
Capital
Holdings, Inc.;
Director,
Victory Capital
Services,
Inc. (2013-
present);
Director,
Victory
Capital Transfer
Agency,
Inc. (2019-
present). |
117
portfolios
comprised
of 40
portfolios
in the Trust,
26
portfolios in Victory
Portfolios
II, 6
portfolios
in Victory
Variable
Insurance
Funds,
and 45 portfolios
in
USAA Mutual Funds
Trust. |
Trustee,
USAA
Mutual
Funds
Trust;
Board
Member,
Victory
Capital
Services,
Inc. |
Name
and
Date
of Birth |
Position
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Christopher
K.
Dyer,
Born
February
1962 |
President |
February
2006* |
Director
of Mutual Fund Administration, the Adviser
(2004-present).
Chief Operating Officer, Victory Capital
Services,
Inc. (2020-present). Vice President, Victory
Capital
Transfer Agency, Inc. (2019-present). |
Scott
A. Stahorsky,
Born
July 1969 |
Vice
President |
December
2014 |
Manager,
Fund Administration, the Adviser (since
2015). |
Thomas
Dusenberry,
Born
July 1977 |
Secretary |
May
2022 |
Manager,
Fund Administration, the Adviser; Treasurer
and
Principal Financial Officer (2020-2022), Assistant
Treasurer
(2019), Salient MF Trust, Salient Midstream,
MLP
Fund and Forward Funds; Principal Financial
Officer
(2018-2021) and Treasurer (2020-2021), Salient
Private
Access Funds and Endowment PMF Funds;
Senior
Vice President of Fund Accounting and
Operations,
Salient Partners (2020-2022); Director of
Fund
Operations, Salient Partners
(2016-2019). |
Name
and
Date
of Birth |
Position
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Allan
Shaer,
Born
March 1965 |
Treasurer |
May
2017 |
Senior
Vice President, Financial Administration, Citi
Fund
Services Ohio, Inc. (since 2016); Vice President,
Mutual
Fund Administration, JP Morgan Chase
(2011-2016). |
Christopher
Ponte,
Born
March 1984 |
Assistant
Treasurer |
December
2017 |
Manager,
Fund Administration, the Adviser (since
2017);
Senior Analyst, Fund Administration, the
Adviser
(prior to 2017); Chief Financial Officer,
Victory
Capital Services, Inc. (since 2018). |
Sean
Fox,
Born
September
1976 |
Chief
Compliance
Officer |
June
2022 |
Sr.
Compliance Officer, the Adviser (2019-Present);
Compliance
Officer, the Adviser (2015-2019). |
Charles
Booth,
Born
April 1960 |
Anti-Money
Laundering
Compliance
Officer
and
Identity
Theft
Officer |
May
2015 |
Director,
Regulatory Administration and CCO Support
Services,
Citi Fund Services Ohio, Inc. |
Jay
G. Baris,
Born
January 1954 |
Assistant
Secretary |
December
1997 |
Partner,
Sidley Austin LLP (since 2020); Partner,
Shearman
& Sterling LLP (2018-2020); Partner,
Morrison
& Foerster LLP
(2011-2018). |
Trustee |
Dollar
Range of Beneficial
Ownership
of Fund Shares |
Aggregate
Dollar Range
of
Ownership of Shares
of
All Series of the
Victory
Fund Complex |
Mr.
Adcock |
None |
Over
$100,000 |
Mr.
Andrews |
INCORE
Fund for Income: $1 - $10,000
Sycamore
Established Value: Over $100,000 |
Over
$100,000 |
Ms.
Beard |
INCORE
Fund for Income: $10,001 - $50,000
INCORE
Investment Grade Convertible Fund: $10,001 - $50,000
Sycamore
Established Value: $50,001 - $100,000
Sycamore
Small Company Opportunity: $10,001 - $50,000 |
Over
$100,000 |
Mr.
Bushe |
INCORE
Fund for Income: $50,001 - $100,000
Sycamore
Small Company Opportunity: Over $100,000 |
Over
$100,000 |
Mr.
Kelly |
Diversified
Stock: $50,001 - $100,000
Special
Value: $50,001 - $100,000
Sycamore
Established Value: $50,001 - $100,000
Sycamore
Small Company Opportunity: $10,001 - $50,000 |
Over
$100,000 |
Mr.
Meyer |
Diversified
Stock: $50,001 - $100,000
Sycamore
Established Value: $10,001 - $50,000
Sycamore
Small Company Opportunity: $50,001 - $100,000 |
Over
$100,000 |
Ms.
Nelund |
None |
Over
$100,000 |
Mr.
Wilson |
None |
Over
$100,000 |
Trustee |
Dollar
Range of Beneficial Ownership of Fund Shares |
Aggregate
Dollar Range
of
Ownership of Shares
of
All Series of the
Victory
Fund Complex |
Mr.
Brown* |
INCORE
Fund for Income: Over $100,000
INCORE
Investment Grade Convertible Fund: Over $100,000
NewBridge
Large Cap Growth: Over $100,000
Strategic
Allocation: Over $100,000
Sycamore
Established Value: Over $100,000
Sycamore
Small Company Opportunity: Over $100,000 |
Over
$100,000 |
Trustee |
Aggregate
Compensation
from
the Funds |
Total
Compensation from the
Victory
Fund Complex |
Mr.
Adcock |
$81,118 |
$172,000 |
Mr.
Andrews* |
$81,118 |
$172,000 |
Ms.
Beard |
$81,118 |
$172,000 |
Mr.
Bushe |
$81,118 |
$172,000 |
Mr.
Kelly |
$116,489 |
$247,000 |
Mr.
Meyer |
$81,118 |
$172,000 |
Ms.
Nelund |
$81,118 |
$172,000 |
Mr.
Wilson |
$81,118 |
$172,000 |
Trustee |
Aggregate
Compensation
from
the Funds |
Total
Compensation from the
Victory
Fund Complex |
Mr.
Brown* |
None |
None |
Trustee |
Aggregate
Compensation
from
the Funds |
Total
Compensation from the
Victory
Fund Complex |
Mr.
Adcock* |
$12,168 |
$25,800 |
Ms.
Beard** |
$9,734 |
$20,640 |
Mr.
Bushe*** |
$40,559 |
$86,000 |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
DIVERSIFIED
STOCK FUND CL A |
NORTHERN
TRUST COMPANY TRUSTEE
MERILLAT
PO
BOX 92956
CHICAGO
IL 606752956 |
18.19% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
10.89% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
7.19% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
6.65% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
5.37% |
DIVERSIFIED
STOCK FUND CL C |
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
29.35% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
17.46% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
13.62% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
10.12% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
9.71% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
5.61% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
5.18% |
DIVERSIFIED
STOCK FUND CL I |
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
19.45% |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
10.29% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
9.82% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
9.47% |
|
PRUDENTIAL
INV MNGMNT
SRVCS/RETIREMENT
280
TRUMBULL ST
HARTFORD
CT 06103 |
6.98% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
6.93% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
6.83% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
6.10% |
|
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
5.57% |
|
NATIONWIDE
INVESTMENT SERVICES CORP.
CO
IPO PORTFOLIO ACCOUNTING
PO
BOX 182029
COLUMBUS
OH 432182029 |
5.46% |
DIVERSIFIED
STOCK FUND CL R |
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
44.69% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
11.25% |
DIVERSIFIED
STOCK FUND CL R6 |
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
74.13% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
12.42% |
|
VANGUARD
MARKETING CORPORATION
P.O.
BOX 982901
EL
PASO TX 799982901 |
6.19% |
|
DIVERSIFIED
INVESTMENT ADVISORS FBO
TRS
FBO VARIOUS RET PLANS
TRANSAMERICA
RETIREMENT SOLUTIONS
HARRISON
NY 10528 |
6.18% |
DIVERSIFIED
STOCK FUND CL Y |
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
71.99% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
13.40% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
10.38% |
INCORE
FUND FOR INCOME CL A |
EDWARD
D. JONES & CO., L.P.
12555
MANCHESTER ROAD
SAINT
LOUIS MO 631313729 |
15.03% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
14.23% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
8.12% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
7.84% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
7.75% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
6.19% |
INCORE
FUND FOR INCOME CL C |
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
17.75% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
14.80% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
14.21% |
|
RBC
CAPITAL MARKETS LLC
60
SOUTH SIX STREET P08
MINNEAPOLIS
MN 554024400 |
13.11% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
11.99% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
7.15% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
5.90% |
INCORE
FUND FOR INCOME CL I |
RBC
CAPITAL MARKETS LLC
60
SOUTH SIX STREET P08
MINNEAPOLIS
MN 554024400 |
19.82% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
15.85% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
11.36% |
|
TD
AMERITRADE CLEARING, INC.
200
SOUTH 108TH AVENUE
OMAHA
NE 68154 |
10.10% |
|
COGNIZANT
TECHNOLOGY SOLUTIONS
CORP
ATTN
ROBERT TELESMANIC
500
FRANK W BURR BLVD
TEANECK
NJ 07666 |
8.72% |
|
KEYBANK
NA
SIPORIN
KAREN W TR AGTR PRI USD
2158598
2
P
O BOX 94871
CLEVELAND
OH 441014871 |
5.31% |
|
MATRIX
TRUST COMPANY FBO
REGION
10 457B PLAN
PO
BOX 52129
PHOENIX
AZ 85072 |
5.23% |
INCORE
FUND FOR INCOME CL R |
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
37.80% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
8.19% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
6.69% |
|
PRINCIPAL
SECURITIES, INC.
C/O
PEN TRADE OPS N-004
PO
BOX 14597
DES
MOINES IA 50306 |
5.80% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
5.45% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
INCORE
FUND FOR INCOME CL R6 |
PRINCIPAL
SECURITIES, INC.
C/O
PEN TRADE OPS N-004
PO
BOX 14597
DES
MOINES IA 50306 |
57.23% |
|
MATRIX
TRUST COMPANY AS TTEE
MANAGEMENT
INC 401K PLAN
PO
BOX 52129
PHOENIX
AZ 850722129 |
17.32% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
9.07% |
INCORE
FUND FOR INCOME CL Y |
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
63.21% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
34.54% |
INCORE
FUND FOR INCOME MEMBER CL |
DOUGLAS
R BROWN
22129
PRIMROSE LN
WAUSAU
WI 54401 |
15.32% |
|
WILLIAM
C SMITH
ROTH
IRA
2779
AVALANCHE HTS
COLORADO
SPGS CO 809181592 |
8.27% |
|
JEFFREY
GRUIDL
SVITLANA
GRUIDL
JTWROS
/04221723/
11007
INDIAN LEGENDS DR
LOUISVILLE
KY 402413447 |
7.78% |
|
BENJAMIN
TEDDER
ROTH
IRA
10
HARBOUR HEIGHTS DR
ANNAPOLIS
MD 214012141 |
7.34% |
|
CHARLES
A BRYANT
ANITA
C BRYANT
JTWROS
9075
GAYLORD DR APT 25
HOUSTON
TX 77024 |
7.06% |
INCORE
INV GRADE CONVERTIBLE FUND
MEMBER
CL |
MATTHEW
E BREWER
OF
RONALD G SHERRILL
BENEFICIARY
ROTH IRA
701
COBBLESTONE BLVD UNIT # 205
FREDERICKSBRG
VA 224016619 |
7.38% |
|
DEBORAH
K PHILLIPS
IRA
708
LONGBRANCH RD
HOHENWALD
TN 384625185 |
7.07% |
|
DEIRDRE
L LEMIRE
TRAD
IRA /10011321/
12159
FUERTE DR
EL
CAJON CA 920208353 |
6.17% |
|
HARRIET
W ISOM
74661
YOAKUM RD
ECHO
OR 978269632 |
5.82% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
INCORE
INVESTMENT GRADE
CONVERTIBLE
FUND CL A |
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
15.14% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
14.09% |
|
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
12.88% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
10.65% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
9.88% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
7.94% |
INCORE
INVESTMENT GRADE
CONVERTIBLE
FUND CL I |
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
32.99% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
15.96% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
11.78% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
8.58% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
7.70% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
5.74% |
NEWBRIDGE
LARGE CAP GROWTH FUND CL
A |
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
32.22% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
18.93% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
8.63% |
|
MID
ATLANTIC TRUST COMPANY FBO
TIDALHEALTH
457B PRMC-001-002-003-0
1251
WATERFRONT PLACE SUITE 525
PITTSBURGH
PA 15222 |
5.49% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
NEWBRIDGE
LARGE CAP GROWTH FUND CL
C |
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
33.10% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
32.26% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
24.81% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
7.42% |
NEWBRIDGE
LARGE CAP GROWTH FUND CL
I |
MATRIX
TRUST COMPANY AS TTEE
MANAGEMENT
INC 401K PLAN
PO
BOX 52129
PHOENIX
AZ 850722129 |
41.46% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
18.53% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
15.73% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
6.46% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
5.28% |
NEWBRIDGE
LARGE CAP GROWTH FUND CL
Y |
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
73.31% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
12.21% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
7.52% |
|
J.P.
MORGAN SECURITIES LLC
570
WASHINGTON BLVD
JERSEY
CITY NJ 07310 |
5.95% |
SPECIAL
VALUE FUND CL A |
TALCOTT
RESOLUTION LIFE INSURANCE CO
CONCENTRATION
ACCOUNT
PO
BOX 5051
ATTN
UIT OPERATIONS
HARTFORD
CT 06102 |
24.59% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
7.79% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
7.33% |
|
STATE
STREET BANK TRUSTEE AND/OR
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 021112901 |
7.27% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
7.26% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
7.21% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
5.67% |
|
EMPOWER
TRUST FBO
PLANS
OF EMPOWER
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111 |
5.52% |
SPECIAL
VALUE FUND CL C |
AIG
RETIREMENT SERVICES COMPANY
AIGFSB
TEXAS
A&M SYSTEM OPTIONAL RET PLAN
2929
ALLEN PKWY A6 20
HOUSTON
TX 770192118 |
76.29% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
11.19% |
|
EDWARD
D. JONES & CO., L.P.
12555
MANCHESTER ROAD
SAINT
LOUIS MO 631313729 |
5.96% |
SPECIAL
VALUE FUND CL I |
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
28.14% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
16.34% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
11.73% |
|
OPPENHEIMER
& CO. INC.
85
BROAD STREET
22ND,
24TH FLOOR
NEW
YORK NY 10004 |
8.12% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
6.33% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
5.08% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
SPECIAL
VALUE FUND CL R |
TALCOTT
RESOLUTION LIFE INSURANCE CO
CONCENTRATION
ACCOUNT
PO
BOX 5051
ATTN
UIT OPERATIONS
HARTFORD
CT 06102 |
54.50% |
|
ASCENSUS
TRUST COMPANY FBO
SPECIAL
AGENTS MUTUAL 401 K 50126
P
O BOX 10758
FARGO
ND 58106 |
11.64% |
|
EMPOWER
TRUST FBO
PLANS
OF EMPOWER
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111 |
7.43% |
SPECIAL
VALUE FUND CL Y |
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
31.53% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
21.46% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
18.37% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
16.36% |
|
RBC
CAPITAL MARKETS LLC
60
SOUTH SIX STREET P08
MINNEAPOLIS
MN 554024400 |
6.43% |
STRATEGIC
ALLOCATION FUND CL A |
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
14.54% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
11.82% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
9.56% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
6.20% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
5.78% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
5.34% |
STRATEGIC
ALLOCATION FUND CL C |
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
37.95% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
16.76% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
14.33% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
11.77% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
5.43% |
STRATEGIC
ALLOCATION FUND CL I |
MATRIX
TRUST COMPANY AS TTEE
MANAGEMENT
INC 401K PLAN
PO
BOX 52129
PHOENIX
AZ 850722129 |
29.82% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
17.22% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
15.04% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
9.73% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
7.71% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
6.12% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
5.38% |
STRATEGIC
ALLOCATION FUND CL R |
JAMES
EDWARD WEITZEL
SIMPLE
IRA
2962
CREAM RIDGE RD
ORWELL
OH 440769308 |
22.71% |
|
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
21.32% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
19.02% |
|
JAMES
WILLIAM HOFFMAN
SIMPLE
IRA
9647
PIERCE RD
GARRETTSVILLE
OH 442319424 |
12.16% |
|
STIFEL,
NICOLAUS & COMPANY,
INCORPORATED
501
NORTH BROADWAY
SAINT
LOUIS MO 63102 |
9.40% |
SYCAMORE
ESTABLISHED VALUE FUND CL
A |
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
14.16% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
12.56% |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
8.96% |
|
STATE
STREET BANK TRUSTEE AND/OR
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 021112901 |
7.33% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
7.02% |
|
EMPOWER
TRUST FBO
PLANS
OF EMPOWER
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111 |
6.87% |
|
EDWARD
D. JONES & CO., L.P.
12555
MANCHESTER ROAD
SAINT
LOUIS MO 631313729 |
6.22% |
SYCAMORE
ESTABLISHED VALUE FUND CL
C |
EDWARD
D. JONES & CO., L.P.
12555
MANCHESTER ROAD
SAINT
LOUIS MO 631313729 |
22.29% |
|
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
16.25% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
11.26% |
|
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
8.59% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
8.12% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
7.28% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
7.06% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
6.22% |
SYCAMORE
ESTABLISHED VALUE FUND CL
I |
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
16.17% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
14.25% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
8.79% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
5.61% |
|
SEI
PRIVATE TRUST COMPANY
C
O GWP US ADVISORS
ONE
FREEDOM VALLEY DRIVE
OAKS
PA 19456 |
5.25% |
SYCAMORE
ESTABLISHED VALUE FUND CL
R |
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
19.17% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
13.09% |
|
EMPOWER
TRUST FBO
PLANS
OF EMPOWER
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111 |
8.46% |
|
STATE
STREET BANK TRUSTEE AND/OR
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 021112901 |
8.03% |
|
PRINCIPAL
SECURITIES, INC.
C/O
PEN TRADE OPS N-004
PO
BOX 14597
DES
MOINES IA 50306 |
6.21% |
|
ING
LIFE INSURANCE AND ANNUITY
COMPANY
ONE
ORANGE WAY
WINDSOR
CT 06095 |
5.86% |
SYCAMORE
ESTABLISHED VALUE FUND CL
R6 |
EDWARD
D. JONES & CO., L.P.
12555
MANCHESTER ROAD
SAINT
LOUIS MO 631313729 |
39.82% |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
13.85% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
6.95% |
SYCAMORE
ESTABLISHED VALUE FUND CL
Y |
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
52.83% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
VANTAGETRUST
- UNITIZED
C
O MISSIONSQUARE RETIREMENT
777
NORTH CAPITOL STREET NE
WASHINGTON
DC 20002 |
23.28% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
10.16% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
5.08% |
SYCAMORE
SMALL COMPANY
OPPORTUNITY
FUND CL A |
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
14.08% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
8.74% |
|
EDWARD
D. JONES & CO., L.P.
12555
MANCHESTER ROAD
SAINT
LOUIS MO 631313729 |
8.66% |
|
EMPOWER
TRUST FBO
PLANS
OF EMPOWER
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111 |
8.11% |
|
STATE
STREET BANK TRUSTEE AND/OR
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 021112901 |
7.32% |
|
MASSACHUSETTS
MUTUAL
LIFE
INSURANCE COMPANY
1295
STATE STREET MIP M200-INVST
SPRINGFIELD
MA 01111 |
5.95% |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
5.76% |
SYCAMORE
SMALL COMPANY
OPPORTUNITY
FUND CL I |
WELLS
FARGO CLEARING SERVICES, LLC.
ATTN:
DEBBIE BELL MAILCODE: MO3970
1
NORTH JEFFERSON AVENUE
ST.
LOUIS MO 63103 |
33.05% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
14.29% |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
10.29% |
SYCAMORE
SMALL COMPANY
OPPORTUNITY
FUND CL R |
TALCOTT
RESOLUTION LIFE INSURANCE CO
CONCENTRATION
ACCOUNT
PO
BOX 5051
ATTN
UIT OPERATIONS
HARTFORD
CT 06102 |
17.10% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
13.36% |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
9.61% |
|
STATE
STREET BANK TRUSTEE AND/OR
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 021112901 |
7.99% |
|
LINCOLN
RETIREMENT SERVICES CO
FBO
BENTONVILLE PUBLIC SCHOOLS 403B
P
O BOX 7876
FORT
WAYNE IN 468017876 |
7.57% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
6.75% |
|
MASSACHUSETTS
MUTUAL
LIFE
INSURANCE COMPANY
1295
STATE STREET MIP M200-INVST
SPRINGFIELD
MA 01111 |
6.29% |
SYCAMORE
SMALL COMPANY
OPPORTUNITY
FUND CL R6 |
EDWARD
D. JONES & CO., L.P.
12555
MANCHESTER ROAD
SAINT
LOUIS MO 631313729 |
56.92% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
12.26% |
SYCAMORE
SMALL COMPANY
OPPORTUNITY
FUND CL Y |
MATRIX
TRUST COMPANY AS CUST FBO
NPLAY
RE LLC RETIREMENT SAVINGS PLN
PO
BOX 52129
PHOENIX
AZ 850722129 |
28.73% |
|
FIDELITY
INVESTMENTS INSTITUTIONAL
OPERATIONS
CO INC
FIIOC
AGENT CERTAIN
EMPLOYEE
BENEFIT PLANS
100
MAGELLAN WAY KW1C
COVINGTON
KY 410151987 |
24.21% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
18.59% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
7.58% |
|
MERRILL
LYNCH, PIERCE, FENNER & SMITH
ATTN:
COMPENSATION TEAM
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 322466484 |
7.18% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
THB
US SMALL OPPORTUNITIES FUND CL A |
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
47.25% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
29.91% |
|
RBC
CAPITAL MARKETS LLC
60
SOUTH SIX STREET P08
MINNEAPOLIS
MN 554024400 |
11.34% |
|
TD
AMERITRADE CLEARING, INC.
200
SOUTH 108TH AVENUE
OMAHA
NE 68154 |
5.86% |
THB
US SMALL OPPORTUNITIES FUND CL I |
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
78.27% |
|
RBC
CAPITAL MARKETS LLC
60
SOUTH SIX STREET P08
MINNEAPOLIS
MN 554024400 |
8.20% |
|
ALBURY'S
OWN PTY LTD
PO
BOX 5570
MAROOCHYDORE
BC QLD AUS 4558 |
5.21% |
Fund |
Advisory
Fee |
Diversified
Stock Fund |
0.65%
on the first $800 million, 0.60% on the next $1.6 billion and 0.55% on
assets in
excess
of $2.4 billion |
NewBridge
Large Cap Growth
Fund |
0.75%
on the first $400 million, 0.65% on the next $400 million and 0.60% on
assets in
excess
of $800 million |
Special
Value Fund |
0.75%
on the first $400 million, 0.65% on the next $400 million and 0.60% on
assets in
excess
of $800 million |
Sycamore
Established Value
Fund |
0.65%
on the first $100 million, 0.55% on the next $100 million and 0.45% on
assets in
excess
of $200 million |
Sycamore
Small Company
Opportunity
Fund |
0.85%
on the first $500 million and 0.75% on assets in excess of $500
million |
THB
US Small Opportunities
Fund |
1.15% |
Fund |
Advisory
Fee |
INCORE
Investment Grade
Convertible
Fund |
0.75%
on the first $400 million, 0.65% on the next $400 million and 0.60% on
assets in
excess
of $800 million |
Strategic
Allocation Fund |
0.10% |
Fund |
Advisory
Fee |
INCORE
Fund for Income
Fund |
0.50%
on the first $400 million, 0.45% on the next $400 million and 0.40% on
assets in
excess
of $800 million |
Fund |
2022 |
2021 |
2020 |
Diversified
Stock Fund |
$1,341,596 |
$1,965,492 |
$1,740,520 |
INCORE
Fund for Income Fund |
$1,933,295 |
$3,979,077 |
$4,030,905 |
INCORE
Investment Grade Convertible Fund |
$2,218,231 |
$2,675,337 |
$2,231,693 |
NewBridge
Large Cap Growth Fund |
$62,909 |
$132,348 |
$122,281 |
Special
Value Fund |
$234,805 |
$363,870 |
$360,269 |
Strategic
Allocation Fund |
$18,495 |
$28,309 |
$24,390 |
Sycamore
Established Value Fund |
$49,719,866 |
$65,950,816 |
$48,627,318 |
Sycamore
Small Company Opportunity Fund |
$34,114,421 |
$50,299,533 |
$38,645,774 |
THB
US Small Opportunities Fund* |
$600,128 |
$511,741 |
$- |
Predecessor
Fund |
2021
|
2020
|
THB
Asset Management MicroCap Fund |
$486,434
|
$702,223 |
Fund |
2022 |
2021 |
2020 |
Diversified
Stock Fund |
$20,785 |
$28,295 |
$35,710 |
INCORE
Fund for Income Fund |
$159,705 |
$197,179 |
$104,754 |
INCORE
Investment Grade Convertible Fund |
$14,691 |
$27,913 |
$- |
NewBridge
Large Cap Growth Fund |
$55,600 |
$63,272 |
$58,456 |
Special
Value Fund |
$45,320 |
$71,484 |
$76,074 |
Strategic
Allocation Fund |
$94,889 |
$134,758 |
$118,874 |
THB
US Small Opportunities Fund* |
$108,917 |
$110,471 |
$- |
Predecessor
Fund |
2021 |
2020 |
THB
Asset Management MicroCap Fund |
$251,477 |
$408,310 |
Fund
(Class) |
2022 |
2021 |
2022 |
Victory
INCORE Fund for Income (Class R6) |
$837 |
$– |
$11,414 |
Victory
INCORE Fund for Income (Class Y) |
$– |
$33,736 |
$– |
Victory
INCORE Investment Grade Convertible Fund (Class A) |
$4,516 |
$– |
$– |
Fund |
2022 |
2021 |
2020 |
Diversified
Stock Fund |
$1,503 |
$2,252 |
$2,293 |
INCORE
Fund for Income Fund |
$2,949 |
$6,755 |
$7,233 |
INCORE
Investment Grade Convertible Fund |
$2,118 |
$2,640 |
$2,515 |
NewBridge
Large Cap Growth Fund |
$65 |
$134 |
$139 |
Special
Value Fund |
$228 |
$367 |
$412 |
Strategic
Allocation Fund |
$134 |
$212 |
$208 |
Sycamore
Established Value Fund |
$78,621 |
$106,243 |
$91,773 |
Sycamore
Small Company Opportunity Fund |
$32,541 |
$48,880 |
$43,574 |
THB
US Small Opportunities Fund* |
$382 |
$1,783 |
$- |
Fund |
2022 |
2021 |
2020 |
Diversified
Stock Fund |
$111,482 |
$169,290 |
$162,533 |
INCORE
Fund for Income Fund |
$216,142 |
$477,584 |
$525,656 |
INCORE
Investment Grade Convertible Fund |
$162,323 |
$199,509 |
$181,088 |
NewBridge
Large Cap Growth Fund |
$4,530 |
$9,894 |
$9,917 |
Special
Value Fund |
$16,910 |
$27,187 |
$29,155 |
Strategic
Allocation Fund |
$9,990 |
$15,854 |
$14,821 |
Sycamore
Established Value fund |
$5,944,381 |
$8,152,349 |
$6,518,788 |
Sycamore
Small Company Opportunity Fund |
$2,433,077 |
$3,714,672 |
$3,086,582 |
THB
US Small Opportunities Fund* |
$28,191 |
$24,160 |
$- |
Predecessor
Fund |
2021 |
2020 |
THB
Asset Management MicroCap Fund |
$70,191 |
$140,383 |
Fund |
Gross
Income
from
securities
lending
activities |
Fees
paid to
securities
lending
agent
from a
revenue
split |
Rebate
(paid
to
borrower) |
Aggregate
fees/compensation
for
securities
lending
activities |
Net
income
from
securities
lending
activities |
Diversified
Stock
Fund |
$16,337 |
$374 |
$12,599 |
$12,973 |
$3,364 |
INCORE
Investment
Grade
Convertible
Fund |
$707,662 |
$67,951 |
$27,861 |
$95,812 |
$611,850 |
NewBridge
Large Cap
Growth
Fund |
$67 |
$7 |
$3 |
$10 |
$57 |
Special
Value Fund |
$144 |
$5 |
$96 |
$101 |
$43 |
Sycamore
Established
Value
Fund |
$4,570 |
$162 |
$2,943 |
$3,105 |
$1,465 |
Sycamore
Small
Company
Opportunity
Fund |
$192,438 |
$12,771 |
$64,522 |
$77,293 |
$115,145 |
THB
US Small
Opportunities
Fund |
$5,138 |
$369 |
$1,439 |
$1,808 |
$3,330 |
|
2022 |
2021 |
2020 | |||
|
Total
Commissions |
Underwriting
Commissions
Retained |
Total
Commissions |
Underwriting
Commissions
Retained |
Total
Commissions |
Underwriting
Commissions
Retained |
Diversified
Stock Fund |
$3,815 |
$486 |
$11,823 |
$1,636 |
$9,207 |
$1,243 |
INCORE
Fund for Income Fund |
$5,565 |
$709 |
$105,940 |
$13,545 |
$273,386 |
$61,649 |
INCORE
Investment Grade
Convertible
Fund |
$7,120 |
$1,040 |
$25,248 |
$2,978 |
$34,598 |
$8,588 |
NewBridge
Large Cap Growth Fund |
$610 |
$74 |
$4,699 |
$659 |
$2,347 |
$321 |
Special
Value Fund |
$1,962 |
$297 |
$2,649 |
$373 |
$4,234 |
$510 |
Strategic
Allocation Fund |
$3,379 |
$444 |
$12,290 |
$1,433 |
$26,528 |
$3,548 |
Sycamore
Established Value Fund |
$73,103 |
$9,650 |
$120,482 |
$15,768 |
$132,690 |
$17,084 |
Sycamore
Small Company
Opportunity
Fund |
$12,854 |
$1,706 |
$23,031 |
$2,967 |
$27,487 |
$3,479 |
THB
US Small Opportunities Fund* |
$2,568 |
$313 |
$4,484 |
$629 |
$- |
$- |
|
Registered
Investment
Company
Accounts |
Pooled
Investment
Vehicle
Accounts |
Other
Accounts | |||
|
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Ms.
Adelman |
$521.39 |
1 |
$176.06 |
4 |
$409.68 |
6 |
Mr.
Albers |
$25,509.83 |
9 |
$1,722.19 |
7 |
$1,708.52 |
24 |
Mr.
Cliff |
$24.63 |
1 |
$— |
0 |
$— |
0 |
Mr.
Conners |
$25,509.83 |
9 |
$1,722.19 |
7 |
$1,708.52 |
24 |
Mr.
Crosby |
$1,637.76 |
6 |
$— |
0 |
$499.17 |
29 |
Mr.
Cuesta |
$594.64 |
5 |
$248.74 |
4 |
$79.30 |
22 |
Mr.
Dahl |
$1,452.55 |
4 |
$— |
0 |
$621.72 |
13 |
Ms.
Fong |
$1,452.55 |
4 |
$— |
0 |
$621.72 |
13 |
Mr.
Graff |
$25,509.83 |
9 |
$1,722.19 |
7 |
$1,708.52 |
24 |
Mr.
Gura |
$860.07 |
3 |
$— |
0 |
$139.45 |
9 |
Mr.
Kaesberg |
$446.09 |
1 |
$— |
0 |
$2,340.08 |
14 |
Mr.
Koskuba |
$1,452.55 |
4 |
$— |
0 |
$621.72 |
13 |
Mr.
Maheshwari |
$594.64 |
5 |
$248.74 |
4 |
$79.30 |
22 |
Mr.
Maronak |
$1,452.55 |
4 |
$— |
0 |
$621.72 |
13 |
Mr.
Miller |
$25,509.83 |
9 |
$1,722.19 |
7 |
$1,708.52 |
24 |
Mr.
Rodarte |
$25,509.83 |
9 |
$1,722.19 |
7 |
$1,708.52 |
24 |
Ms.
Uhlir |
$521.39 |
1 |
$176.06 |
4 |
$409.68 |
6 |
Mr.
Vucenovic |
$446.09 |
1 |
$— |
0 |
$2,340.08 |
14 |
|
Registered
Investment
Company
Accounts |
Pooled
Investment
Vehicle
Accounts |
Other
Accounts | |||
|
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Ms.
Adelman |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Albers |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Cliff |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Conners |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Crosby |
$114.75 |
1 |
$— |
0 |
$— |
0 |
Mr.
Cuesta |
$521.28 |
3 |
$— |
0 |
$— |
0 |
Mr.
Dahl |
$1,443.98 |
3 |
$— |
0 |
$— |
0 |
Ms.
Fong |
$1,443.98 |
3 |
$— |
0 |
$— |
0 |
Mr.
Graff |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Gura |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Kaesberg |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Koskuba |
$1,443.98 |
3 |
$— |
0 |
$— |
0 |
Mr.
Maheshwari |
$521.28 |
3 |
$— |
0 |
$— |
0 |
|
Registered
Investment
Company
Accounts |
Pooled
Investment
Vehicle
Accounts |
Other
Accounts | |||
|
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Mr.
Maronak |
$1,443.98 |
3 |
$— |
0 |
$— |
0 |
Mr.
Miller |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Rodarte |
$— |
0 |
$— |
0 |
$— |
0 |
Ms.
Uhlir |
$— |
0 |
$— |
0 |
$— |
0 |
Mr.
Vucenovic |
$— |
0 |
$— |
0 |
$— |
0 |
Portfolio
Manager |
Fund |
Dollar
Range of Shares
Beneficially
Owned as of
June
30, 2022 |
Ms.
Adelman |
INCORE
Fund for Income |
$100,001
to $500,000 |
Mr.
Albers |
Sycamore
Established Value Fund
Sycamore
Small Company Opportunity Fund |
Over
$1,000,000
Over
$1,000,000 |
Mr.
Cliff |
Strategic
Allocation Fund |
Over
$1,000,000 |
Mr.
Conners |
Sycamore
Established Value Fund
Sycamore
Small Company Opportunity Fund |
Over
$1,000,000
Over
$1,000,000 |
Mr.
Crosby |
Diversified
Stock Fund
Special
Value Fund |
None
None |
Mr.
Cuesta |
THB
US Small Opportunities Fund |
$1
to $10,000 |
Mr.
Dahl |
NewBridge
Large Cap Growth Fund |
None |
Ms.
Fong |
NewBridge
Large Cap Growth Fund |
None |
Mr.
Graff |
Sycamore
Established Value Fund
Sycamore
Small Company Opportunity Fund |
$500,001
to $1,000,000
$500,001
to $1,000,000 |
Mr.
Gura |
Diversified
Stock Fund
Special
Value Fund |
None
None |
Mr.
Kaesberg |
INCORE
Investment Grade Convertible Fund |
$50,001
to $100,000 |
Mr.
Koskuba |
NewBridge
Large Cap Growth Fund |
$100,001
to $500,000 |
Mr.
Maheshwari |
THB
US Small Opportunities Fund |
$1
to $10,000 |
Mr.
Maronak |
NewBridge
Large Cap Growth Fund |
None |
Mr.
Miller |
Sycamore
Established Value Fund
Sycamore
Small Company Opportunity Fund |
Over
$1,000,000
$100,001
to $500,000 |
Mr.
Rodarte |
Sycamore
Established Value Fund
Sycamore
Small Company Opportunity Fund |
Over
$1,000,000
Over
$1,000,000 |
Ms.
Uhlir |
INCORE
Fund for Income |
$50,001
to $100,000 |
Mr.
Vucenovic |
INCORE
Investment Grade Convertible Fund |
None |
Fund |
Class
A |
Class
C |
Class
R |
Diversified
Stock Fund |
$382,739 |
$14,201 |
$148,044 |
INCORE
Fund for Income Fund |
$190,632 |
$55,855 |
$33,664 |
INCORE
Investment Grade Convertible Fund |
$34,091 |
$— |
$— |
NewBridge
Large Cap Growth Fund |
$10,812 |
$3,406 |
$— |
Special
Value Fund |
$44,906 |
$6,238 |
$49,854 |
Fund |
Class
A |
Class
C |
Class
R |
Strategic
Allocation Fund |
$25,657 |
$15,162 |
$3,975 |
Sycamore
Established Value Fund |
$2,874,697 |
$428,017 |
$2,961,539 |
Sycamore
Small Company Opportunity Fund |
$645,513 |
$— |
$806,922 |
THB
US Small Opportunities Fund |
$2,618 |
$— |
$— |
Fund |
2022 |
2021 |
2020 |
Diversified
Stock Fund |
$105,405 |
$157,292 |
$206,801 |
INCORE
Fund for Income Fund |
$- |
$- |
$- |
INCORE
Investment Grade Convertible Fund |
$- |
$3,163 |
$3,159 |
NewBridge
Large Cap Growth Fund |
$1,929 |
$26,835 |
$38,012 |
Special
Value Fund |
$16,339 |
$24 |
$733 |
Strategic
Allocation Fund |
$174 |
$4,621,108 |
$4,580,564 |
Sycamore
Established Value Fund |
$3,631,074 |
$2,972,984 |
$2,852,177 |
Sycamore
Small Company Opportunity Fund |
$2,096,743 |
$- |
$- |
THB
US Small Opportunities Fund* |
$125,055 |
$77,749 |
$- |
Predecessor
Fund |
2021 |
2020 |
THB
Asset Management MicroCap Fund |
$63,383 |
$207,488 |
Fund |
Amount
of Transactions to Brokers Providing Research |
Related
Commissions |
Diversified
Stock Fund |
$391,277,312 |
$93,683 |
NewBridge
Large Cap
Growth
Fund |
$13,509,581 |
$1,838 |
Special
Value Fund |
$65,779,111 |
$14,577 |
Strategic
Allocation Fund |
$231,023 |
$129 |
Sycamore
Established
Value
Fund |
$10,001,713,832 |
$3,110,743 |
Sycamore
Small Company
Opportunity
Fund |
$4,7,39,885,025 |
$1,839,768 |
THB
US Small
Opportunities
Fund |
$87,333,160 |
$82,971 |
Fund |
Broker-Dealer |
Type
of Security
(Debt
or Equity) |
Aggregate
Value
($000) |
Diversified
Stock Fund |
JPMorgan
Chase & Co. |
Equity |
$3,269 |
Diversified
Stock Fund |
Bank
of America Corp. |
Equity |
$2,945 |
Diversified
Stock Fund |
Morgan
Stanley |
Equity |
$2,780 |
INCORE
Investment Grade Convertible Fund |
Wells
Fargo & Co. |
Equity |
$18,699 |
Fund |
Broker-Dealer |
Type
of Security
(Debt
or Equity) |
Aggregate
Value
($000) |
INCORE
Investment Grade Convertible Fund |
Bank
of America Corp. |
Equity |
$18,314 |
Special
Value Fund |
JPMorgan
Chase & Co. |
Equity |
$494 |
Special
Value Fund |
Bank
of America Corp. |
Equity |
$454 |
Special
Value Fund |
Morgan
Stanley |
Equity |
$412 |
INCORE
Investment Grade Convertible Fund |
Barclays
Bank PLC |
Debt |
$14,215 |
INCORE
Investment Grade Convertible Fund |
JPMorgan
Chase & Co. |
Debt |
$13,014 |
Fund |
2022 |
2021 |
Diversified
Stock Fund |
49% |
61% |
INCORE
Fund for Income Fund |
20% |
27% |
INCORE
Investment Grade Convertible Fund |
17% |
28% |
NewBridge
Large Cap Growth Fund |
28% |
39% |
Special
Value Fund |
53% |
70% |
Strategic
Allocation Fund |
9% |
22% |
Sycamore
Established Value Fund |
24% |
32% |
Sycamore
Small Company Opportunity Fund |
22% |
41% |
THB
US Small Opportunities Fund* |
43% |
50% |
Fund |
Short-Term
Amount |
Long-Term
Amount |
Total |
THB
US Small Opportunities Fund |
$(610) |
$- |
$(610) |
INCORE
Fund for Income Fund |
$(130,175) |
$(248,828) |
$(379,003) |
Type
of Service Provider |
Name
of Service Provider |
Timing
of Release of
Portfolio
Holdings Information |
Adviser
and Fund Accountant |
Victory
Capital Management Inc. |
Daily. |
Distributor |
Victory
Capital Services, Inc. |
Daily. |
Custodian |
Citibank,
N.A. |
Daily. |
Sub-Fund
Accountant |
Citi
Fund Services Ohio, Inc. |
Daily. |
Financial
Data Service |
FactSet
Research Systems, Inc. |
Daily. |
Liquidity
Risk Management Service
Provider |
MSCI,
Inc. |
Daily. |
Independent
Registered Public
Accounting
Firm |
Cohen
& Company, Ltd. |
Annual
Reporting Period: within 15
business
days of end of reporting period. |
Printer
for Financial Reports |
Toppan
Merrill LLC |
Up
to 30 days before distribution to
shareholders. |
Legal
Counsel, for EDGAR filings on
Forms
N-CSR and Form N-PORT |
Sidley
Austin LLP |
Up
to 30 days before filing with the
SEC. |
Ratings
Agency |
Lipper |
Quarterly,
no sooner than 15 calendar
days
after the end of the previous
quarter. |
Type
of Service Provider |
Name
of Service Provider |
Timing
of Release of
Portfolio
Holdings Information |
Ratings
Agency |
Morningstar |
Quarterly,
no sooner than 15 calendar
days
after the end of the previous
quarter. |
Financial
Data Service |
Bloomberg
L.P. |
Quarterly,
no sooner than 15 calendar
days
after the end of the previous
quarter. |